Foreign Corrupt Practices and Domestic and Foreign Investment Disclosure: Hearing Before the Committee on Banking, Housing, and Urban Affairs, United States Senate, Ninety-fifth Congress, First Session, on S. 305 ... March 16, 1977U.S. Government Printing Office, 1977 - 245 páginas |
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... respect for individual privacy and imposing only minimal compliance costs on intermediaries . And this would be accomplished without dis- couraging investment and participation in our securities markets . Both titles of this bill , Mr ...
... respect for individual privacy and imposing only minimal compliance costs on intermediaries . And this would be accomplished without dis- couraging investment and participation in our securities markets . Both titles of this bill , Mr ...
Página 3
... respect for individual privacy and imposing only minimal compliance costs on intermediaries . And this would be accomplished without dis- couraging investment and participation in our securities markets . Both titles of this bill , Mr ...
... respect for individual privacy and imposing only minimal compliance costs on intermediaries . And this would be accomplished without dis- couraging investment and participation in our securities markets . Both titles of this bill , Mr ...
Página 20
... respect to possible control by large security holders . On August 29 , 1974 , the Commission If the FPC puts garbage into the com- formally proposed to require electric and puter , it will get garbage out of the com- puter . The obvious ...
... respect to possible control by large security holders . On August 29 , 1974 , the Commission If the FPC puts garbage into the com- formally proposed to require electric and puter , it will get garbage out of the com- puter . The obvious ...
Página 31
... respect to each of the 30 largest holders , the number of shares ( and percentage relationship to total outstanding voting shares ) over which the holder has- 1. Sole voting power ; 2. Shared voting power ( if voting power is shared ...
... respect to each of the 30 largest holders , the number of shares ( and percentage relationship to total outstanding voting shares ) over which the holder has- 1. Sole voting power ; 2. Shared voting power ( if voting power is shared ...
Página 32
... respect to each holder of more than five percent of each issue reported provide the name , address , and type of holder - bank , broker , holding company , individual or other specified category and amount of debt held . B. A ...
... respect to each holder of more than five percent of each issue reported provide the name , address , and type of holder - bank , broker , holding company , individual or other specified category and amount of debt held . B. A ...
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Términos y frases comunes
agencies American Airlines assets audit auditors beneficial owner beneficial ownership bill books and records bribery Cede Chairman Church Street Station Civil Aeronautics Board Commission believes Commission's concerning Congress corporate payments countries criminal Depository Trust Depository Trust Company directors disclose disclosure effective Electric enforcement equity securities Exchange Commission falsification Federal filed Foreign Investment Fund Guaranty Trust Company holder of record holdings Ince & Co institutional interest internal accounting controls investors involved issue issuer January 24 Lee Metcalf legislation March 16 March 23 ment Morgan Guaranty Trust number of shares Office percent person Power problem prohibit proposed Rule Proxmire registered regulations regulatory reporting requirements response Schedule 13D Secretary BLUMENTHAL Section 203 Securities and Exchange Securities Exchange Act securities laws Senator Metcalf Senator WILLIAMS shareholders statements stockholders system of internal tion transactions Urban Affairs Utilities William Proxmire Williams Act
Pasajes populares
Página 129 - ... any failure to obey such order of the court may be punished by such court as a contempt thereof. All process in any such case may be served in the judicial district whereof such person is an inhabitant or wherever he may be found.
Página 24 - ... under common control with, the person specified. (b) Control. The term "control" (including the terms "controlling", "controlled by" and "under common control with") means the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a person, whether through the ownership of voting securities, by contract...
Página 70 - ... (C) if the purpose of the purchases or prospective purchases is to acquire control of the business of the issuer of the securities, any plans or proposals which such persons may have to liquidate such issuer, to sell its assets to or merge it with any other persons, or to make any other major change in its business or corporate structure.
Página 168 - ... (i) transactions are executed in accordance with management's general or specific authorization; (ii) transactions are recorded as necessary (I) to permit preparation of financial statements in conformity with generally accepted accounting principles or any other criteria applicable to such statements, and (II) to maintain accountability for assets...
Página 204 - ... (iii) access to assets is permitted only in accordance with management's general or specific authorization; and "(iv) the recorded accountability for assets is compared with the existing assets at reasonable intervals and appropriate action is taken with respect to any differences.
Página 125 - ... any person who willfully and knowingly makes, or causes to be made, any statement in any application, report, or document required to be filed under this title or any rule or regulation thereunder...
Página 129 - That any person who shall neglect or refuse to attend and testify, or to answer any lawful inquiry, or to produce documentary evidence, if in his power to do so, in obedience to the subpoena or lawful requirement of the commission...
Página 206 - ... light of the circumstances under which such statements were made, not misleading to an accountant in connection with (1) any audit or examination of the financial statements of the Issuer required to be made pursuant to this subpart or (2) the preparation or filing of any document or report required to be filed with the Commission pursuant to this subpart or otherwise. (15 USC 78m(b)(2); 15 USC 78m(a), 78m(b)U), 78o(d), 78j(b), 78n(a), 78t(b), 78t(c
Página 129 - Commission, shall be guilty of a misdemeanor and. upon conviction, shall be subject to a fine of not more than $1,000 or to imprisonment for a term of not more than one year, or both.
Página 120 - If so. identify the principals, the subject matter and your relationship to the parties and the outcome. (d) State whether or not. during the past ten years, you have been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) and, if so, give dates, nature of conviction, name and location of court, and penalty imposed or other disposition of the case. A negative answer to this subitem need not be included in the Statement or other proxy soliciting material.