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Federal securities Regulation (The Securities Act of 1933 (Timetable of…
Federal securities Regulation
The Securities Act of 1933
The registration statement
The prospectus
Info that must be included about the securities being issued
Timetable of sales activity
30 days before registration
After registration but before effectiveness
After effective date
WKSIs: special rules apply
Exemptions from registration
Securities exemptions
Transaction exemptions
Private offering exemptions: Regulation D
Rule 506
Rule 505
Rule 504
Regulation A: simplified filing
Tier1
Tier 2
Liability under the 1933 Act
Section 11: civil liability
Section 12: civil antifraud
Section 17: criminal antifraud
The Securities Exchange Act of 1934
Reporting requirements
Registration requirements
Antifraud provisions: Rule 10b-5