(Item 10) General

CurrencyCurrent through May 31, 2023
Citation 17 C.F.R. §229.10
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1 cases
  • Fed. Hous. Fin. Agency v. HSBC N. Am. Holdings Inc.
    • United States
    • U.S. District Court — Southern District of New York
    • December 10, 2013
    ... ... 17, 1983) (“SEC Rel. 6499”); see In re WorldCom, Inc. Sec. Litig., 346 F.Supp.2d 628, 667 (S.D.N.Y.2004).        As a general matter, the registration statement for a new securities offering must include a copy of the prospectus that will be used to market the securities for ... effective date for directors when it is filed “for purposes of including information required by section 10(a)(3) of the Act or pursuant to Item 512(a)(1)(ii) of Regulation S–K.” 17 C.F.R. § 230.430B(f)(4). Item 512(a)(1)(ii), in turn, requires a registrant to “reflect in the prospectus ... ...

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