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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Página 8
... purchase Equity Secu- rities of or make a loan to any company in which such officer or director or such owner or controller of the Licensee's stock , or his close relative is an officer or director or owns or controls ten or more ...
... purchase Equity Secu- rities of or make a loan to any company in which such officer or director or such owner or controller of the Licensee's stock , or his close relative is an officer or director or owns or controls ten or more ...
Página 12
... purchase Equity Securities of , or make a loan to , an officer or a director of the Licensee , or any person owning or controlling , directly or indirectly ten or more percent of the stock of said Licensee , or any close relative of ...
... purchase Equity Securities of , or make a loan to , an officer or a director of the Licensee , or any person owning or controlling , directly or indirectly ten or more percent of the stock of said Licensee , or any close relative of ...
Página 28
... purchases and sales of securities and we have debt securities that are more than straight loans there is no flat prohibition in the SEC act either . Senator PROXMIRE . You have three criteria which are required : ( 1 ) noninterested ...
... purchases and sales of securities and we have debt securities that are more than straight loans there is no flat prohibition in the SEC act either . Senator PROXMIRE . You have three criteria which are required : ( 1 ) noninterested ...
Página 31
... purchase or loan was made . Now that has nothing to do with the product you might be working on . All it says is you are borrowing so much money over such a period of time at such interest , or whatever other provisions there may be ...
... purchase or loan was made . Now that has nothing to do with the product you might be working on . All it says is you are borrowing so much money over such a period of time at such interest , or whatever other provisions there may be ...
Página 31
... purchase of the loan is considered to be a sound investment - none of that would be required . We are not asking for that . What we are asking for is simply the fact that a loan is made to an interested party and the terms of the ...
... purchase of the loan is considered to be a sound investment - none of that would be required . We are not asking for that . What we are asking for is simply the fact that a loan is made to an interested party and the terms of the ...
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.