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- W194348827 abstract "The public and the business community are inclined to think of the Securities Act of 1933 primarily in terms of its disclosure, and provisions. Issuers and syndicate managers who are bringing an issue to market tend to become preoccupied with determining the necessity for registration, with the content of a registration statement and and their informational requirements, with arriving at judgments as to materiality of and the necessity for discussion of subjects perhaps not specifically required by the registration forms, with the mechanics of the registration process and the timing of the various steps in the complicated business of putting together a syndicate and successfully placing an issue. The public is apt to observe in the press from time to time some report of action by the Commission involving conduct by an issuer or a broker-dealer contravening the anti-fraud standards of the statute or involving the sale of unregistered securities. These actions are generally understood and are accepted without explanation or justification, either by the Commission or by the businessmen and professional people interested in the administration of the law. Being easily understood, it is perhaps natural that the impression should prevail that these are the only aspects of the statute of any real importance, that what remains is mere technicality. However, you in the investment banking business and we in the Commission are keenly aware that one of the basic purposes of the Securities Act and one of the major changes in the conduct of your business required in order to implement the rule of full disclosure was to impose upon issuers, underwriters and dealers a then novel discipline in the mechanics of distribution as to when and' in what manner securities may be offered and sold. This discipline was spelled out in section 5 of the 1933 act, which is the procedural heart of the statute from your point of view and ours, and in the definitions of the terms security, offer, sale, and prospectus contained in subsections 1, 3 and 10 of section 2. From 1933 until October 1954, the statute prohibited the making of offers or sales1 of a non-exempt security prior to the effective date" @default.
- W194348827 created "2016-06-24" @default.
- W194348827 creator A5072606993 @default.
- W194348827 date "2016-01-01" @default.
- W194348827 modified "2023-09-24" @default.
- W194348827 title "CURRENT PROBLEMS UNDER SECTION 5 OF THE SECURITIES ACT OF 1933 AND RELEASE NO. 3844" @default.
- W194348827 hasPublicationYear "2016" @default.
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