9' ?'
73d CONGRESS . SESS. I. CH. 38. MAY 27, 1933 . Funded rnd floating
(3) the amount of the funded debt and the estimated amount of debts . the floating debt outstanding and to be created by the security to be offered, excluding intergovernmental debt, and a brief description of the date, maturity, character of such debt, rate of interest, charac- Substitution condi- ter of amortization provisions, and the security, if any, therefor . tions. If substitution of any security is permissible, a statement of the con- ditions under which such substitution is permitted . If substitution is permissible without notice, a specific statement to that effect ; whet her issuer has
(4) whether or not the issuer or its predecessor has, ,N-itlii n a defaulted, etc .
period of twenty years prior to the filing of the registration state- ment, defaulted on the principal or interest of any external security, late . os ern men tal excluding intergovernmental debt, and, if so, the date, amount, and debts exclu ded .
circumsta nces of such d efault, and the terms of the succeeding arrangement, if any ; penses Rec , ei indetail. pts and ex- (5) t he rece ipts, classif ied by source , and t he expe nditur es, cla ssi- fied by purpose, in such detail and form as the Commission shall prescribe for the latest fiscal year for which such information is available and the two preceding fiscal years, year by year ; Names ,ete ., otu nd er- wri te
(6) the names and addresses of the underwriters ; ited States agent .
(7) the name and address of its authorized aget, if any, in the United States ; Esti mate d net pro - ceeds from sales in
(8) the estimated net proceeds to be derived from the sale in United stat es .
the United States of the security to be offered ; Price. (9) the price at which it is proposed that the security shall be offered in the United States to the public or the method by which such price is computed . A variation in price may be proposed prior to the date of the public offering of the security, but the Commission shall immediately be notified of such variation ; Commissions paid . (10) all commissions paid or to be paid, directly or indirectly, by the issuer to the underwriters in respect of the sale of the security to be offered . Commissions shall include all cash, securities, con- tracts, or anything else of value, paid, to be set aside, disposed of, or understandings with or for the benefit of any other persons in which the underwriter is interested, made, in connection with the sale of such security . Where any such commission is paid, the amount of such commission paid to each underwriter shall be stated ; Other expen ses (11) the amount or estimated amounts, itemized in reasonable detail, of expenses, other than the commissions specified in para- graph (10) of this schedule, incurred or borne by or for the account of the issuer in connection with the sale of the security to be offered or properly chargeable thereto, including legal, engineering, certifi- cation, and other charges ; Names, etc ., of coon- sel
(12) the names and addresses of counsel who have passed upon . the legality of the issue ; Co py of any under- (13) a copy of any agreement or agreements made with an y writer's agreement as to united states sales . underwrit er governing t he sale of th e security wi thin the Unite d Stat es ; and coursers opinion as to legality of issue . (14) an agreement of the issuer to furnish a copy of the opinion or opinions of counsel in respect to the legality of the issue, with a translation, where necessary, into the English language . Such opin- ion shall set out in full all laws, decrees, ordinances, or other acts of Government under which the issue of such security has been authorized . Corporation of For- eign Bondholders, 1933 . "Corporation of For- eign Security Holders" created . TITLE II SECTION 201 . For the purpose of protecting, conserving, and advancing the interests of the holders of foreign securities in default, there is hereby created a body corporate with the name " Corporation
