Section 13 Securities Act

Section 13 exchange act section 13 exchange act section 13 requires that any person that has acquired either directly or indirectly more than 5 of the beneficial ownership of a reporting company s equity securities to file either a schedule 13d or 13g within 10 days after the acquisition.

Section 13 securities act. A for the purposes of sections 13 d and 13 g of the act a beneficial owner of a security includes any person who directly or indirectly through any contract arrangement understanding relationship or otherwise has or shares. Section 17 fraudulent interstate transactions. Section 18 exemption from state regulation of securities offerings.

Section 19 special powers of commission. This legal update summarizes 1 the reporting requirements under section 13 of the securities exchange act of 1934 as amended the exchange act which are generally applicable to persons that own or exercise investment discretion over accounts that own publicly traded or exchange listed equity securities 1 and 2 the reporting requirements under section 16 of the exchange act which are applicable to persons considered to be insiders of public companies. Section 14 contrary stipulations void.

Official list of section 13 f securities this list of section 13 f securities as defined by rule 13f 1 c 17 cfr 240 13f 1 c is made available to the public pursuant to section 13 f 3 of the securities exchange act of 1934 15 usc 78m f 3. December 9th 2015 by laura anthony esq. Section 13 limitation of actions.

Section 16 additional remedies. Section 13 d reports by persons acquiring more than five per centum of certain classes of securities.