Registration Statement - Law Dictionary Search Results
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security
security pl: -ties 1 a : something (as a mortgage or collateral) that is provided to make certain the fulfillment of an obligation [used his property as for a loan] b : surety see also security for costs 2 : evidence of indebtedness, ownership, or the right to ownership ;specif : evidence of investment in a common enterprise (as a corporation or partnership) made with the expectation of deriving a profit solely from the efforts of others who acquire control over the funds invested [a involves some form of investment contract] see also due diligence asset-backed security : a security (as a bond) that represents ownership in or is secured by a pool of assets (as loans or receivables) that have been securitized bearer security : a security (as a bearer bond) that is not registered and is payable to anyone in possession of it cer·tif·i·cat·ed security [sər-ti-fə-kā-təd-] : a security that belongs to or is divisible into a class or series o...
Business names
Business names. The (English) Registration of Business Names Act, 1916, necessitates the registration of every firm or person carrying on business in the United Kingdom unless carried on in their true names. 'Business' includes profession. The Act imposes penalties for any period of non-registration or fraud when furnishing any statement required by the Act. S. 8 provides that any firm or person, in default of registration, shall be unable to enforce contracts made in relation to the business in respect of which the default has been made. Provisions are, however, made for obtaining relief in certain cases. Firms and persons obliged to register under the Act must set out in trade catalogues, business letters, etc., the true name or names of the person or persons trading under the business name. The fees payable on registration have been increased by s. 5 of the (English) Fees Increase Act, 1923. See also the (English) Companies Act, 1929, s. 145, which applies and extends the provisions...
prospectus
prospectus pl: -tus·es [-tə-səz] : a preliminary printed statement describing a business or other enterprise and distributed to prospective buyers, investors, or participants ;specif : a description of a new security issue supplied to prospective purchasers and providing a disclosure of detailed information concerning the company's business and financial standing NOTE: Under the Securities Act of 1933, the prospectus is part of the registration statement that must be filed with the Securities and Exchange Commission before a security may be offered or sold to the public. The Securities Act defines prospectus broadly as “any prospectus, notice, circular, advertisement, letter, or communication, written or by radio or television, which offers any security for sale or confirms the sale of any security.” ...
disclosure
disclosure : an act or instance of disclosing: as a : a lender's revelation of information to a consumer under the Truth in Lending Act that enables the consumer to make an intelligent decision about the loan b : the revelation to investors of financial information about a corporation or municipality and about the security it is offering for sale see also prospectus, registration statement NOTE: Disclosure is required for a public offering. c : revelation by a corporate insider (as an officer) for approval of a business transaction that involves self-dealing d : a debtor in bankruptcy's revelation to creditors of a bankruptcy plan ...
private offering
private offering : the sale of an issue of securities directly by the issuer to one or a few large investors without any public offering called also private placement compare public offering NOTE: A private offering is exempt from the requirements of filing a registration statement with the Securities and Exchange Commission and distributing prospectuses to potential buyers before the sale. ...
public offering
public offering : an offering of corporate securities to the general public or to potential purchasers whose level of knowledge or access to information about the securities is dependent upon the disclosures of the corporation compare private offering NOTE: Public offerings are subject to the requirements of the Securities Act of 1933 for filing a registration statement before the offering can take place. ...
underwriter
underwriter 1 a : a person (as an individual or a company) who underwrites an insurance policy : insurer b : a person who assesses risks to be covered by an insurance policy 2 : a person (as an individual or company) who underwrites a security issue compare issuer NOTE: The Securities Act of 1933 requires dealers, issuers, and underwriters to file registration statements for the securities that they sell. ...
Caution
Caution, a species of bail; security. When used in this sense, the word is pronounced 'cayshon.'--Scots Law. In England, any warning. A prisoner or accused person is 'cautioned' before making a statement, that such statement may be used in evidence upon his trial.Caution.--Under the (English) Land Registration Act, 1925, ss. 54 to 56, is a notice to the Registrar in the nature of a caveat to the effect that the cautioner is entitled to be served with a notice of any application for the registration of an interest in registered land affecting the cautioner. Registration, as a rule, will to be effected until a reasonable time (usually 14 days) has elapsed after service of notice, or the cautioner has entered an appearance. Cautions may be lodged against first registration to protect unregistered mortgages, contracts for purchase, the vesting of equitably settled estates and other purposes. Cautions to protect unregistered mortgages under s. 106 of the (English) L. R. Act, 1925, confer a ...
Births, Marriages, and Deaths
Births, Marriages, and Deaths. By the (English) Births and Deaths Registration Act, 1836 (6 & 7 Wm. 4, c. 86), amended by the (English) Births and Deaths Registration Act, 1837 (7 Wm. 4 & 1 Vict. c. 22), a General Register Office is provided for keeping a register of births, deaths, and marriages in England. The Births and Deaths Registration Act, 1874 [37 & 38 (English) Vict. c. 88], amends the laws relating to the Registration of Births and Deaths in England in important particulars, and consolidates the law relating to the registration of births and deaths at sea. This Act (s. 1) imposes upon the father and mother of a child, and in their default, upon the occupier of a house in which to his knowledge a child is born, the duty of giving information to the registrar within 42 days. By s. 10 a corresponding obligation to register a death is imposed upon relatives, etc.By s. 203 of the (English) Public Health Act, 1936, births of any child alive or dead after the twenty-eighth week of ...
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