Section 4(a)(1) of the Securities Act of 1933
E927190
Section 4(a)(1) of the Securities Act of 1933 is a statutory exemption that allows persons other than issuers, underwriters, or dealers to resell securities without registering the transaction with the U.S. Securities and Exchange Commission.
All labels observed (2)
| Label | Occurrences |
|---|---|
| Section 4(1) of the Securities Act of 1933 | 1 |
| Section 4(a)(1) of the Securities Act of 1933 canonical | 1 |
How this entity was disambiguated
This entity first appeared as the object of triple T11468242 — resolving that mention is where its identity was fixed. The disambiguator weighed these candidate entities and picked the highlighted one (or “None”, minting a new entity). This is how homonymy is resolved: the same surface form can point to different entities.
NED1
Entity disambiguation (via context triple)
gpt-5-mini-2025-08-07
Target entity: Section 4(a)(1) of the Securities Act of 1933 Context triple: [Section 4(a)(2) of the Securities Act of 1933, distinguishedFrom, Section 4(a)(1) of the Securities Act of 1933]
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A.
Section 4(a)(2) of the Securities Act of 1933
Section 4(a)(2) of the Securities Act of 1933 is the statutory exemption that permits issuers to offer and sell securities in private placements without registering them with the SEC, provided the transactions do not involve a public offering.
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B.
Section 4(a)(6) of the Securities Act of 1933
Section 4(a)(6) of the Securities Act of 1933 is the statutory exemption that permits certain small companies to raise limited amounts of capital from the general public through regulated crowdfunding without registering their securities offerings with the SEC.
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C.
Section 10(b) of the Securities Exchange Act of 1934
Section 10(b) of the Securities Exchange Act of 1934 is a key U.S. federal securities law provision that broadly prohibits manipulative and deceptive practices in connection with the purchase or sale of securities.
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D.
Section 15 of the Securities Exchange Act of 1934
Section 15 of the Securities Exchange Act of 1934 is the core U.S. federal provision that requires broker-dealers to register with the Securities and Exchange Commission and comply with associated regulatory obligations.
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E.
U.S. Securities Act of 1933
The U.S. Securities Act of 1933 is a landmark federal law that established strict disclosure requirements for securities offerings to protect investors and restore confidence in financial markets after widespread abuses revealed by the stock market crash and ensuing economic crisis.
- F. None of above. chosen
- G. Unsure - the case is ambiguous/there is not enough information to decide.
NED2
Entity disambiguation (via description)
gpt-5-mini-2025-08-07
Target entity: Section 4(a)(1) of the Securities Act of 1933 Target entity description: Section 4(a)(1) of the Securities Act of 1933 is a statutory exemption that allows persons other than issuers, underwriters, or dealers to resell securities without registering the transaction with the U.S. Securities and Exchange Commission.
-
A.
Section 4(a)(2) of the Securities Act of 1933
Section 4(a)(2) of the Securities Act of 1933 is the statutory exemption that permits issuers to offer and sell securities in private placements without registering them with the SEC, provided the transactions do not involve a public offering.
-
B.
Section 4(a)(6) of the Securities Act of 1933
Section 4(a)(6) of the Securities Act of 1933 is the statutory exemption that permits certain small companies to raise limited amounts of capital from the general public through regulated crowdfunding without registering their securities offerings with the SEC.
-
C.
Section 10(b) of the Securities Exchange Act of 1934
Section 10(b) of the Securities Exchange Act of 1934 is a key U.S. federal securities law provision that broadly prohibits manipulative and deceptive practices in connection with the purchase or sale of securities.
-
D.
Section 15 of the Securities Exchange Act of 1934
Section 15 of the Securities Exchange Act of 1934 is the core U.S. federal provision that requires broker-dealers to register with the Securities and Exchange Commission and comply with associated regulatory obligations.
-
E.
U.S. Securities Act of 1933
The U.S. Securities Act of 1933 is a landmark federal law that established strict disclosure requirements for securities offerings to protect investors and restore confidence in financial markets after widespread abuses revealed by the stock market crash and ensuing economic crisis.
- F. None of above. chosen
Statements (42)
| Predicate | Object |
|---|---|
| instanceOf |
provision of United States federal securities law
ⓘ
statutory exemption ⓘ |
| appliesTo | resale of securities ⓘ |
| citedIn |
judicial decisions interpreting resale exemptions
ⓘ
no‑action letters and SEC interpretive guidance ⓘ |
| codifiedIn | 15 U.S.C. § 77d(a)(1) ⓘ |
| constrainedBy |
anti‑fraud provisions of the federal securities laws
ⓘ
definition of underwriter in Section 2(a)(11) of the Securities Act of 1933 ⓘ |
| country |
United States
ⓘ
linked to:
United States of America
|
| doesNotApplyTo |
transactions by dealers
ⓘ
transactions by issuers ⓘ transactions by underwriters ⓘ |
| enforcedBy |
U.S. Securities and Exchange Commission
ⓘ
linked to:
Securities and Exchange Commission
|
| exemptionFor |
ordinary trading transactions by investors
ⓘ
secondary market transactions by non‑issuers ⓘ transactions by persons other than issuers, underwriters, or dealers ⓘ |
| exemptsFrom |
Section 5 registration requirements of the Securities Act of 1933
ⓘ
registration of certain securities transactions ⓘ |
| formerlyDesignatedAs | Section 4(1) of the Securities Act of 1933 ⓘ |
| interpretedBy |
U.S. Securities and Exchange Commission
ⓘ
linked to:
Securities and Exchange Commission
U.S. federal courts ⓘ |
| jurisdiction |
United States
ⓘ
linked to:
United States of America
|
| legalEffect | provides safe harbor from registration for qualifying resales ⓘ |
| legalSystem | common law influenced federal statutory system ⓘ |
| partOf |
Securities Act of 1933
ⓘ
linked to:
U.S. Securities Act of 1933
|
| policyGoal |
avoid unnecessary registration of routine trading transactions
ⓘ
balance investor protection with market liquidity ⓘ |
| primaryPurpose | facilitate ordinary trading in outstanding securities without registration ⓘ |
| regulates | resale transactions in securities ⓘ |
| relatedProvision |
Rule 144 under the Securities Act of 1933
ⓘ
linked to:
Rule 144
Section 4(a)(2) of the Securities Act of 1933 ⓘ Section 5 of the Securities Act of 1933 ⓘ |
| relatedToConcept |
public offering versus private offering distinction
ⓘ
secondary trading markets ⓘ underwriter status under the Securities Act of 1933 ⓘ |
| renumberedBy | Jumpstart Our Business Startups Act ⓘ |
| renumberedInYear | 2012 ⓘ |
| subjectMatter |
exempt transactions
ⓘ
registration of securities transactions ⓘ securities regulation ⓘ |
| usedBy | investors reselling restricted or control securities subject to additional conditions ⓘ |
| yearEnacted | 1933 ⓘ |
How these facts were elicited
The pipeline generated the facts above by prompting gpt-5.1 with this entity's name + description and the instruction below.
Instruction
You are a knowledge base construction expert. Given a subject entity and a description of it, return factual statements that you know for the subject as a JSON list of dictionaries(triples), where keys must be "subject", "predicate" and "object". The number of facts may be very high, between 25 to 50 or more, for very popular subjects. For less popular subjects, the number of facts can be very low, like 5 or 10. # Requirements - If you don't know the subject at all, return an empty list. - If the subject is not a named entity, return an empty list. - Include at least one triple where predicate is "instanceOf". - Do not get too wordy. - Separate several objects into multiple triples with one object.
Input
Subject: Section 4(a)(1) of the Securities Act of 1933 Description of subject: Section 4(a)(1) of the Securities Act of 1933 is a statutory exemption that allows persons other than issuers, underwriters, or dealers to resell securities without registering the transaction with the U.S. Securities and Exchange Commission.
Referenced by (2)
Full triples — surface form annotated when it differs from this entity's canonical label.
Section 4(a)(2) of the Securities Act of 1933
→
distinguishedFrom
→
Section 4(a)(1) of the Securities Act of 1933
ⓘ
Section 4(a)(1) of the Securities Act of 1933
→
formerlyDesignatedAs
→
Section 4(1) of the Securities Act of 1933
ⓘ
linked to: Section 4(a)(1) of the Securities Act of 1933