Section 3 A 10 Of The Securities Act Of 1933

Capitalized terms have the same meanings as defined in your letter.

Section 3 a 10 of the securities act of 1933. Section 6 registration of securities. The bulletin also expresses the division s views regarding the securities act resale status of securities that are received in transactions exempt from registration pursuant to section 3 a 10. 10 1954 complemented changes in section 77e of this title by act aug.

This staff legal bulletin provides the division of corporation finance s views regarding the section 3 a 10 exemption from the securities act of 1933 s registration requirements. Section 3 a 10 of the securities act of 1933 as amended securities act is an exemption from the securities act registration requirements for the offers and sales of securities by issuers. Response of the office of international corporate finance division of corporation finance re unilever group incoming letter dated june 11 2020.

Section 4 exempted transactions. Securities act of 1933 section 3 a 10 june 11 2020 june 11 2020. Section 3 a 10 of the securities act of 1933 the securities act provides an exemption from registration that permits a company to issue common stock to public investors in exchange for one or more bona fide outstanding securities claims or property interests without having to file a registration statement with the securities and exchange commission the sec where.

Section 7 information required in registration statement. Section 8 taking effect of registration statements and amendments thereto. Nothing in this section shall be construed to affect whether any insurance or endowment policy or annuity contract or optional annuity contract that is not described in this section is or is not an exempt security under section 3 a 8 of the securities act of 1933 15 u s c.

2 securities act of 1933 1 the words philippine islands were deleted from the definition of the term territory on the basis of presidential proclamation no. Form and content of and requirements for financial statements securities act of 1933 securities exchange act of 1934 investment company act of 1940 investment advisers act of 1940 and energy policy and conservation act of 1975 part. Usa september 9 2010 section 3 a 2 of the securities act of 1933 the securities act exempts from registration under the securities act any security issued or guaranteed by a bank.

Based on the facts presented the division s views are as follows. 2695 effective july 4 1946 11 f r.