Page:United States Statutes at Large Volume 48 Part 1.djvu/104

 78 73d CONGRESS. SESS. I. CH. 38. MAY 27, 1933 . it is a part is sold only to persons resident within a single State or Territory, where the issuer of such securities is a person resident and d oing b usines s with in, or, if a corpor ation, incor porate d by a nd doing busin ess wi thin, such S tate o r Terri tory. REGISTRATION OF SEC UR ITI ES AND SI GNI NG OF REGISTRATION STATEMENT Registration of secur- SEC. 6. (a) Any security may be registered with the Commission ities and signing of reg- istrat ion sta tement. under the term s and con ditions h ereinaft er provid ed, by fi ling a re gis- tration statement in triplicate, at least one of which shall be signed by each issuer, its principal executive officer or officers, its principal financial officer, its comptroller or principal accounting officer, and the ma jority of it s boar d of d irecto rs or p ersons perfo rming simila r functions (or, if there is no board of directors or persons performing similar functions, by the majority of the persons or board having the Foreign or Territo- power of management of the issuer), and in case the issuer is a rial person. foreign or Territorial person by its duly authorized representative in the United States ; except that when such registration statement goamite is f foreign relates to a security issued by a foreign government, or political sub- division thereof, it need be signed only by the underwriter of such security. Signatures of all such persons when written on the said regist ration state ments shall be pre sumed t o have been so wri tten b y author ity of the p erson whose signat ure is so aff ixed a nd the burde n of proof, in the event such authority shall be denied, shall be upon Una uth ori zed si gn- the party denying the same. The affixing of any signature without the authority of the purported signer shall constitute a violation of this title. A registration statement shall be deemed effective only as to the securities specified therein as proposed to be offered. (b) At the time of filing a registration statement the applicant shall pay to the Commission a fee of one one-hundredth of 1 per centum of the maximum aggregate price at which such securities are proposed to be offered, but in no case shall such fee be less than $25. (c) The filing with the Commission of a registration stat .einent, or of an amendment to a registration statement, shall be deemed to have taken place upon the receipt thereof, but the filing of a registration statement shall not be deemed to have taken place unless it is accom- panied by a United States postal money order or a certified bank check or cash for the amount of the fee required under subsection (b). (d) The information contained in or filed with any registration statement shall be made available to the public under such regulations as the Commission may prescribe, and copies thereof, photostatic or otherwise, shall be furnished to every applicant at such reasonable charge as the Commission may prescribe. No t opera tive fi rst 4fl days. (e) No regist ration state ment m ay be filed w ithin the fi rst fo rty . days fo llowin g the enactm ent of this Act. ing. Signatures. Filing tee. Registration state- ment effective on filing, etc. Availability of regis- ration information. Info rmation quired: Schedules. Post, p 88. Foreign government sec urities. Post, p. 91. Optional, in certain classes. re- IN FORM ATIO N RE QUIR ED IN R EGIS TRAT ION STA TEME NT SEC. 7 . 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 accom- panied 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 docum ent i s ina ppli cable to s uch class and that disc losur e ful ly adequat e for the pr otecti on of invest ors is otherw ise re quired to b e