Investment Advisors Act. A federal statute — administered by the Securities and Exchange Commission — that regulates investment advisers.15 USCA §§ 80b-1 et seq. [Cases: Securities Regulation 223–224. C.J.S. Securities Regulation §§ 360–365.]
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Trust Indenture Act. A federal law, enacted in 1939, designed to protect investors of certain types of bonds by requiring that (1) the SEC approve the trust indenture, (2) the indenture include certain protective clauses and exclude certain exculpatory clauses, and (3) the trustees be independent of the issuing company.15 USCA §§ 77aaa et seq.
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Maloney Act. A 1938 amendment to the Securities Exchange Act of 1934, providing for broker registration in over-the-counter markets.
Maloney Act 〈美〉《迈罗尼法》 1938年通过的对《证券交易法》〔Securities Exchange Act〕的补充规定，要求从事场外证券交易的经纪人进行登记。
exempted securities 〈美〉豁免证券 根据《1933年证券法》〔Securities Act of 1933〕规定无须登记注册的证券。
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Regulation D. An SEC regulation that exempts certain stock offerings (such as those offered by private sale) from registration under the Securities Act of 1933. [Cases: Securities Regulation 18.11. C.J.S. Securities Regulation § 64.]
sale of security 证券销售 指根据协议转让证券或者证券中所含的利益。根据美国《证券法》〔Securities Acts〕，广义的证券销售包括证券交易、公司股票认购、延长出资证明书到期的期限以及公司出售其增加的股份的协议等。
registration statement 〈美〉申请上市登记报告 根据1933年《证券法》〔Securities Act〕和1934年《证券交易法》〔Securities Exchange Act〕，需要公开发行股票或希望其股票在证券交易所上市的公司必须向证券交易委员会提交的报告，包括该公司的财务状况资料、发行股票用途及其他有关内容。
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An investor treated under the Securities Act of 1933 as being knowledgeable and sophisticated about financial matters, esp. because of the investor’s large net worth. • In a securities offering that is exempt from registration, an accredited investor (either a person or an entity) is not entitled to protection under the Act’s disclosure provisions, although
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An issuer not subject to the reporting requirements of the Exchange Act because it (1) has not voluntarily become subject to the reporting requirements, (2) has not had an effective registration statement under the Securities Act within the fiscal year, and (3) did not, at the end of its last fiscal year, meet the shareholder
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