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美国1933年证券法

(最新修订版)

目 录

第1条 简称
第2条 定义；提高效率、促进竞争及资本形成的考虑
第2A条 互换协议
第3条 本法中证券的类别
第4条 豁免交易
第5条 关于州际商务及邮寄的禁止性规定
第6条 证券注册和注册说明书的签署
第7条 注册说明书中需要提供的信息
第8条 注册说明书及其修改之生效
第8 A条 制止程序
第9条 法院对命令的审查
第10条 招股书中要求的信息
第11条  因虚假注册说明书引起的民事责任
第12条 与招股书和通讯有关的民事责任
第13条 诉讼时效
第14条 相反规定无效
第15条 控制人的责任
第16条 附加救济；救济限制
第17条 欺诈性州际交易
第18条 豁免州法的证券发售
第19条 证券交易委员会的特别权力
第20条 对违法行为的禁制令和追究
第21条 证券交易委员会的听证会
第22条 对犯罪和诉讼的管辖权
第23条 非法陈述
第24条 处罚
第25条 其它政府机构对证券的管辖权
第26条 条款的可分割性
第27条 私人证券诉讼
第27A条 前瞻性说明安全港的适用
第28条 一般豁免权
附录A 非由外国政府或其行政区发行的证券的注册要求
附录B 由外国政府或其行政区发行的证券的注册要求

示例：

第7条 注册说明书中需要提供的信息

(a) 与非由外国政府或其行政区发行的证券有关的注册说明书必须包括本法附录1规定的信息并随附所规定的文件；而与由外国政府或其行政区发行的证券有关的注册说明书则必须包括本法附录2规定的信息并随附所规定的文件；但是，若证券交易委员会发现提供上述信息和文件的要求不适用于某一类证券发行人，且在注册说明书中已包含保护投资者所要求的充分信息披露，则证券交易委员会可以通过规则或条例规定该类证券发行人的注册说明书不必包括该等信息或附带文件。如果任何会计师、工程师、估价师或职业使其有权编制报表的任何人被列名编制或核准了注册说明书的任何部分，或被列名曾为与注册说明书一起使用而编制或核准了某一报告或估值，则该等人士的同意函应与注册说明书一起备案。如果任何上述人士被曾列名编制或核准了与注册说明书一起使用的某一报告或估值(公开官方文件或报表除外)，但并未指出该人士是为与注册说明书一起使用而编制或核准了该报告或估值，则其同意函也应与注册说明书一起备案，除非证券交易委员会认为这种备案不可行或会对提交注册说明书的备案人造成不当的困难。为维护公共利益或保护投资者，证券交易委员会可以通过规则或条例要求注册说明书应包含其它必要或适当的信息，并随附其它必要或适当的文件。

(b) (1)若发行人是空白支票公司，则证券交易委员会可以就其提交注册说明书制定特别规则。为维护公共利益或保护投资者，在证券交易委员会认为必要或适当的限度内，该规则可：

(A)要求该发行人在该注册说明书依据第8条规定生效前或生效后及时披露：(i)有关被收购公司及发行募集资金具体用途的信息，或(ii)为防止注册说明书引起误导所必需的其它信息；

(B)在进行第(A)分项要求的信息披露前，限制该发行人对该发行募集资金的使用及对证券的分销；及

(C)向该证券的股东提供撤销权。

(2)如果认为与维护公共利益及保护投资者相符，证券交易委员会可以通过规则或命令豁免任何发行人或任何类别的发行人适用第(1)段规定的规则。

(3)就本款第(1)项而言，“空白支票公司”指处于发展阶段并发行小额股票（见《1934年证券交易法》第3(a)(51)项中的含义）的公司，该公司：

(A)没有具体的业务计划或目标；或

(B)已表明其业务计划是兼并一家或多家尚未确定的公司。

Section 7 -- Information Required in Registration Statement 

a. The registration statement, when relating to a security other than a security issued by a foreign government, or political subdivision thereof, shall contain the information, and be accompanied by the documents, specified in Schedule A, and when relating to a security issued by a foreign government, or political subdivision thereof, shall contain the information, and be accompanied by the documents, specified in Schedule B; except that the Commission may by rules or regulations provide that any such information or document need not be included in respect of any class of issuers or securities if it finds that the requirement of such information or document is inapplicable to such class and that disclosure fully adequate for the protection of investors is otherwise required to be included within the registration statement. If any accountant, engineer, or appraiser, or any person whose profession gives authority to a statement made by him, is named as having prepared or certified any part of the registration statement, or is named as having prepared or certified a report or valuation for use in connection with the registration statement, the written consent of such person shall be filed with the registration statement. If any such person is named as having prepared or certified a report or valuation (other than a public official document or statement) which is used in connection with the registration statement, but is not named as having prepared or certified such report or valuation for use in connection with the registration statement, the written consent of such person shall be filed with the registration statement unless the Commission dispenses with such filing as impracticable or as involving undue hardship on the person filing the registration statement. Any such registration statement shall contain such other information, and be accompanied by such other documents, as the Commission may by rules or regulations require as being necessary or appropriate in the public interest or for the protection of investors.

b.

1. The Commission shall prescribe special rules with respect to registration statements filed by any issuer that is a blank check company. Such rules may, as the Commission determines necessary or appropriate in the public interest or for the protection of investors--

A. require such issuers to provide timely disclosure, prior to or after such statement becomes effective under section 8, of (i) information regarding the company to be acquired and the specific application of the proceeds of the offering, or (ii) additional information necessary to prevent such statement from being misleading;

B. place limitations on the use of such proceeds and the distribution of securities by such issuer until the disclosures required under subparagraph (A) have been made; and

C. provide a right of rescission to shareholders of such securities.

2. The Commission may, as it determines consistent with the public interest and the protection of investors, by rule or order exempt any issuer or class of issuers from the rules prescribed under paragraph (1).

3. For purposes of paragraph (1) of this subsection, the term "blank check company" means any development stage company that is issuing a penny stock (within the meaning of section 3 (a)(51) of the Securities Exchange Act of 1934) and that--

A. has no specific business plan or purpose; or

B. has indicated that its business plan is to merge with an unidentified company or companies.

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