Stock Market Study: Regulation of Unlisted Securities : Hearings Before a Subcommittee of the Committee on Banking and Currency, United States Senate, Eighty-fourth Congress First Session, on S. 2054, a Bill to Amend the Securities Exchange Act of 1934, as Amended, Partes2-3

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U.S. Government Printing Office, 1955 - 706 páginas

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Página 1523 - ... (1) to employ any device, scheme, or artifice to defraud, or (2) to obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading, or (3) to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser.
Página 1523 - ... did not know, and in the exercise of reasonable care could not have known, of such untruth or omission...
Página 1709 - Commission for the administration and enforcement of disclosure and related requirements of the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939...
Página 1500 - ... containing any statement which, at the time and in the light of the circumstances under which it is made, is false or misleading with respect to any material fact, or which omits to state any material fact necessary in order to make the statements therein not false or misleading...
Página 1523 - Unless a registration statement is in effect as to a security, it shall be unlawful for any person, directly or indirectly (1) to make use of any means or instruments of transportation or communication in interstate commerce or of the mails...
Página 1289 - Describe briefly any substantial interest, direct or indirect, by security holdings or otherwise, of each of the following persons in any matter to be acted upon, other than elections to office: (1...
Página 1041 - No broker or dealer shall make use of the mails or of any means or instrumentality of interstate commerce to effect any transaction in, or to induce or attempt to induce the purchase or sale of, any security (other than an exempted security or commercial paper, bankers...
Página 1674 - ... by any other person or group of persons with respect to the election or removal of directors at any annual or special meeting of security holders. (b) Participant or participant in a solicitation.
Página 1590 - If the proposal consists of a recommendation or request that the management take action with respect to a matter relating to the conduct of the ordinary business operations of the issuer.
Página 1288 - ... (2) If regular employees of the Issuer or any other participant in a solicitation have been or are to be employed to solicit security holders, describe the class or classes of employees to be so employed, and the manner and nature of their employment for such purpose. (3) If specially engaged employees...

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