Decisions and ReportsU.S. Government Printing Office, 1958 |
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Página 54
... Regulation A ) EXEMPTION FROM REGISTRATION Denial of Exemption Prior Conviction and Injunction in Connection With Securities Transactions Request that Commission set aside order issued pursuant to Rule 223 ( a ) of Regulation A ...
... Regulation A ) EXEMPTION FROM REGISTRATION Denial of Exemption Prior Conviction and Injunction in Connection With Securities Transactions Request that Commission set aside order issued pursuant to Rule 223 ( a ) of Regulation A ...
Página 55
... Regulation A , upon which they allege the temporary denial is based , should be rescinded on the ground that that rule is not authorized by Sections 3 ( b ) or 19 ( a ) of the Act , is arbitrary , and represents an exercise of ...
... Regulation A , upon which they allege the temporary denial is based , should be rescinded on the ground that that rule is not authorized by Sections 3 ( b ) or 19 ( a ) of the Act , is arbitrary , and represents an exercise of ...
Página 56
... regulations , subject to such terms and conditions as may be prescribed therein , to " add any class of securities to the ... Regulation A of rules providing for the denial of an exemption with respect to securities of any issuer if such ...
... regulations , subject to such terms and conditions as may be prescribed therein , to " add any class of securities to the ... Regulation A of rules providing for the denial of an exemption with respect to securities of any issuer if such ...
Página 57
... Regulation A exemp- tion is or should be available for Searchlight's securities . Mills was convicted of criminal contempt and he and the affiliate company were enjoined within 5 years prior to the filing of the notification , and it is ...
... Regulation A exemp- tion is or should be available for Searchlight's securities . Mills was convicted of criminal contempt and he and the affiliate company were enjoined within 5 years prior to the filing of the notification , and it is ...
Página 72
... Albuquerque Associated Oil Company . Frank Field for the Division of Corporate Regulation of the Com- mission . 37 S. E. C.-I. C. 40- 2339 FINDINGS AND OPINION OF THE COMMISSION Atlas Corporation ( " 72 Investment Company Act of 1940 894.
... Albuquerque Associated Oil Company . Frank Field for the Division of Corporate Regulation of the Com- mission . 37 S. E. C.-I. C. 40- 2339 FINDINGS AND OPINION OF THE COMMISSION Atlas Corporation ( " 72 Investment Company Act of 1940 894.
Otras ediciones - Ver todas
Decisions and Reports, Volumen3 United States. Securities and Exchange Commission Vista completa - 1940 |
Decisions and Reports, Volumen9 United States. Securities and Exchange Commission Vista completa - 1943 |
Decisions and Reports, Volumen4 United States. Securities and Exchange Commission Vista completa - 1940 |
Términos y frases comunes
accounts additional Adjustment Bondholders aggregate Airfleets Albuquerque Amalga amended applicant approval approximately Armstrong and Commissioners Atlas basis Bonds broker or dealer broker-dealer capital cash claims Commission Chairman Armstrong common stock Corporation cost customers debentures debtor December 31 directors dividends Duquesne earnings effect Electric estimated exemption expenses fare increase Fifth Avenue filed financial statements funds Green River Haley hearing holders holding company income investment company investors issuance issued issuer Joint Plan liabilities loss ment merger misleading NASD net asset value North Penn offering circular operating outstanding par value payment Penelec Power preferred stock prior pro forma proceedings properties proposed provides public interest purchase record registrant's registration statement reorganization reserve respect revenues Rule Seaboard Section 11 Securities Act Standard Gas stockholders subsidiary substantial Sweet Grass Third Avenue tion transactions Trustee Trustee's underwriting uranium violated Wasatch Westchester
Pasajes populares
Página 252 - Commission under authority thereof, or any person who willfully, in a registration statement filed under this title, makes any untrue statement of a material fact or omits to state any material fact required to be stated therein or necessary to make the statements therein not misleading, shall upon conviction be fined not more than $5,000 or imprisoned not more than five years, or both.
Página 444 - For accounting purposes, the term current assets is used to designate cash and other assets or resources commonly identified as those which are reasonably expected to be realized in cash or sold or consumed during the normal operating cycle of the business.
Página 243 - ... (d) If it appears to the Commission at any time that the registration statement includes any untrue statement of a material fact or omits to state any material fact required to...
Página 246 - ... is engaged or proposes to engage in the business of investing, reinvesting, owning, holding, or trading in securities, and owns or proposes to acquire investment securities having a value exceeding 40 per centum of the value of such issuer's total assets (exclusive of Government securities and cash items) on an unconsolidated basis. As used in this section, "investment securities" includes all securities except (A) Government securities, (B) securities issued by employees...
Página 212 - The Commission, by rules and regulations upon its own motion, or by order upon application, shall exempt any holding company, and every subsidiary company thereof as such, from any provision or provisions of this title, unless and except insofar as it finds the exemption detrimental to the public interest or the interest of investors or consumers...
Página 109 - A member, in the conduct of his business, shall observe high standards of commercial honor and just and equitable principles of trade.
Página 39 - Act of 1958 if it finds, having regard to the purposes of that act, that the enforcement of this act with respect to such securities is not necessary in the public interest and for the protection of investors.
Página 493 - It shall be unlawful for any person to solicit or to permit the use of his or its name to solicit, by use of the mails or any means or instrumentality of interstate commerce, or otherwise, any proxy, power of attorney, consent, or authorization regarding any security of a registered holding company or a subsidiary company thereof in contravention of such rules and regulations or orders as the Commission...
Página 100 - ... (2) Any issuer which the Commission, upon application by such issuer, finds and by order declares to be primarily engaged in a business or businesses other than that of investing, reinvesting, owning, holding, or trading in securities either directly or (A) through majority-owned subsidiaries or (B) through controlled companies conducting similar types of businesses.
Página 22 - ... Integrated public-utility system " means — (A) As applied to electric utility companies, a system consisting of one or more units of generating plants and/or transmission lines and/or distributing facilities, whose utility assets, whether owned by one or more electric utility companies, are physically interconnected or capable of physical interconnection and which under normal conditions may be economically operated as a single interconnected and coordinated system confined in its operations...