Conflict of Interest Problems in SBIC's: Hearing Before a Subcommittee of the Committee on Banking and Currency, United States Senate, Eighty-eighth Congress, First Session, on S. 298, a Bill to Amend the Small Business Investment Act of 1958. September 5, 1963U.S. Government Printing Office, 1963 - 130 páginas Considers (88) S. 298. |
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... Whitney II , Commissioner , Securities and Exchange Commission ; accompanied by Edmund H. Worthy , Director , Division of Corporation Finance ; Allan F. Conwill , Director , Division of Corporate Regulation ; Walter P. North , Associate ...
... Whitney II , Commissioner , Securities and Exchange Commission ; accompanied by Edmund H. Worthy , Director , Division of Corporation Finance ; Allan F. Conwill , Director , Division of Corporate Regulation ; Walter P. North , Associate ...
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... Whitney of the SEC , since the SEC has self - dealing prob- lems with the investment companies under its jurisdiction ; and Mr. Howard , president of NASBIC , to give us their views on this im- portant question . Without objection the ...
... Whitney of the SEC , since the SEC has self - dealing prob- lems with the investment companies under its jurisdiction ; and Mr. Howard , president of NASBIC , to give us their views on this im- portant question . Without objection the ...
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... Whitney . Go ahead . You might identify the men who are with you . STATEMENT OF JACK M. WHITNEY II , COMMISSIONER , SECURITIES AND EXCHANGE COMMISSION ; ACCOMPANIED BY EDMUND H. WORTHY , DIRECTOR , DIVISION OF CORPORATION FINANCE ...
... Whitney . Go ahead . You might identify the men who are with you . STATEMENT OF JACK M. WHITNEY II , COMMISSIONER , SECURITIES AND EXCHANGE COMMISSION ; ACCOMPANIED BY EDMUND H. WORTHY , DIRECTOR , DIVISION OF CORPORATION FINANCE ...
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... WHITNEY . I believe the term " equity security " in the SBIC sense would include the debt instruments , such as the convertible debenture or the loan accompanied by warrants , but if you had an outright purchase of stock without any ...
... WHITNEY . I believe the term " equity security " in the SBIC sense would include the debt instruments , such as the convertible debenture or the loan accompanied by warrants , but if you had an outright purchase of stock without any ...
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... WHITNEY . What you have , sir , is this situation . In the case of a publicly held SBIC , which is registered with us , at the same time that they would be applying to the SBA for permission under the SBA's regulation 716 , they would ...
... WHITNEY . What you have , sir , is this situation . In the case of a publicly held SBIC , which is registered with us , at the same time that they would be applying to the SBA for permission under the SBA's regulation 716 , they would ...
Términos y frases comunes
affiliated person affiliated transactions amendment amount annual report application or report approval bank borrowing Business Investment Act business investment companies certified CONGRESS THE LIBRARY controls directly CONWILL copies deemed directly or indirectly director or officer disclosure document exemption filed pursuant financial statements FOLEY form of proxy furnished HOWARD investment adviser Investment Company Act involved issuer LIBRARY OF CONGRESS licensee matter ment national securities exchange necessary or appropriate offering circular officer or director paragraph PARRIS participant percent period principal underwriter prior prospectus protection of investors proxy statement purchase or loan registered investment company registration statement rules and regulations section 17 Securities Act security holders self-dealing Senator DOMINICK Senator PROXMIRE Small Business Administration small business concern Small Business Investment specified stockholders subsidiaries thereof tion unit investment trust unlisted trading privileges voting securities Wall Street Journal WHITNEY WILLIAM PROXMIRE
Pasajes populares
Página 60 - ... by means of a prospectus or oral communication, which includes an untrue statement of a material fact or omits to state a material fact necessary in order to make the statements in the light of the circumstances under which they were made, not misleading...
Página 36 - ... per centum or more of whose outstanding voting securities are directly or indirectly owned, controlled, or held with power to vote, by such other person; (C) any person directly or indirectly controlling, controlled by, or under common control with, such other person...
Página 63 - ... certified if required by the rules and regulations of the Commission by independent public accountants...
Página 57 - ... (1) any person who within ten years has been convicted of any felony or misdemeanor involving the purchase or sale of any security...
Página 100 - Every person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of any equity security (other than an exempted security) which is registered on a national securities exchange, or who is a director or an officer of the issuer of such security...
Página 55 - ... full particulars of the nature and extent of the interest, if any, of every director in the promotion of, or in the property proposed to be acquired by the company, or...
Página 95 - Commission shall grant such application and issue such order of exemption if evidence establishes that — (1) the terms of the proposed transaction, including the consideration to be paid or received, are reasonable and fair and do not involve overreaching on the part of any person concerned...
Página 36 - ... with the Securities and Exchange Commission under the Investment Company Act of 1940, such reliance would constitute reasonable cause for purposes of this paragraph.
Página 91 - ... minutes. (b) Identify each of such matters which it is intended will be approved or disapproved, and furnish the information required by the appropriate item or items of this schedule with respect to each such matter.
Página 96 - ... shall conform to such rules and regulations as the commission may from time to time prescribe for the protection of life, health, and property.