...example, this Chapter does not generally discuss the documentation required in order to comply with the Securities Act of 1933 or the Securities Exchange Act of 1934. ft 1 7.1)2 Heqiiircnu-nls ol Killing II Regulations applicable to national hanks regulated by the Comptroller...

...was susceptible of two reasonable inferences: (1) it excluded any and all liability arising out of the Securities Act of 1933 or the Securities Exchange Act of 1934 or (2) it excluded securities liability arising only out of the insured corporation's initial public...

...particular to fund directors, but may apply to any director of a business that has its shares registered under the Securities Act of 1933 or the Securities Exchange Act of 1934.*4 Under the Securities Act and the Exchange Act, there is no explicit right to indemnification....

...Hedge Funds lntroduction to Hedge Funds The term "hedge fund" is a term of art. It is not defined in the Securities Act of 1933 or the Securities Exchange Act of 1934. Additionally, "hedge fund" is not defined by the Investment Company Act of 1940, the Investment Advisers...

...is fair to say this is the most critically important piece of investor protection legislation since the Securities Act of 1933 or the Securities Exchange Act of 1934. This comes on the heels of the disclosure of corporate corruption that has been endemic in recent months,...

...any practices in connection with the purchase or sale of securities ; and (4) willful violation of the Securities Act of 1933 or the Securities Exchange Act of 1934 or any of the Commission's rules or regulations thereunder. The Commission is empowered by section...

...the Investment Company Act to cover phases of investment company operation not regulated under either the Securities Act of 1933 or the Securities Exchange Act of 1934. Although registration under the act is optional, trust activities of unregistered companies are so...

...Small business issuer A public entity that is an SEC registrant that files as a small business issuer under the Securities Act of 1933 or the Securities Exchange Act of 1934. At the date this 174 The phrase at least in part is used because an award may be indexed to both the...

...Securities Exchange Act of 1934 a. Apply only if the securities involved were registered under either the Securities Act of 1933 or the Securities Exchange Act of 1934. b. Require that the plaintiff show negligence on the part of the defendant in misstating facts. c....

...functions under the TVA Act The legislation does not require TVA to register securities under either the Securities Act of 1933 or the Securities Exchange Act of 1934. In December 2006, the SEC adopted final rules which provide further deferrals of the reporting requirements...