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WebFORM 3: UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940: OMB APPROVAL: OMB Number: 3235-0104: Estimated average … Web9 Sep 2010 · Section 3(a)(2) of the Securities Act of 1933 (the “Securities Act”) exempts from registration under the Securities Act any security issued or guaranteed by a bank. WebSection 3(a)(11) of the Securities Act. Moreover, the misrepresentations made by Milanowski in the prospectus and sales materials were material and constituted violations of the antifraud provisions of the securities laws, including Section 17(a) of the Securities Act and Section 10(b) of the Exchange Act and Rule 10b-5 promulgated thereunder. The healthy ageing strategy 2016