Nomination of William J. Casey: Hearings, Ninety-second Congress, First Session, on the Nomination of William J. Casey to be a Member of the Securities and Exchange Commission. February 10 and March 9, 1971, Volúmenes22-23U.S. Government Printing Office, 1971 - 785 páginas |
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Página 1
... York . The CHAIRMAN . Let the committee come to order , please . We are meeting this morning for the purpose of ... York , has been nominated by the President to fill a very important office , Chairman of the Securities and Exchange ...
... York . The CHAIRMAN . Let the committee come to order , please . We are meeting this morning for the purpose of ... York , has been nominated by the President to fill a very important office , Chairman of the Securities and Exchange ...
Página 3
... York law firm of Hall , Casey , Dickler & Howley and the Washington law firm of Scribner , Hall , Casey , Thornburg ... York University , Institute on Federal Taxation , from 1946-62 and for the Practising Law Institute from 1950-64 . Mr ...
... York law firm of Hall , Casey , Dickler & Howley and the Washington law firm of Scribner , Hall , Casey , Thornburg ... York University , Institute on Federal Taxation , from 1946-62 and for the Practising Law Institute from 1950-64 . Mr ...
Página 7
... York City , and in the last 7 or 8 years I have been a partner in another firm here in Washington ; and in the course of that practice I represented a great many corporations in their efforts to obtain capital , in their finding access ...
... York City , and in the last 7 or 8 years I have been a partner in another firm here in Washington ; and in the course of that practice I represented a great many corporations in their efforts to obtain capital , in their finding access ...
Página 24
... York Stock Exchange member firms for net capital violations . Chairman Budge's reply , and I wish to quote it to you , was : I think the New York Stock Exchange alone has twice as many employees as the SEC . We are not staffed to go ...
... York Stock Exchange member firms for net capital violations . Chairman Budge's reply , and I wish to quote it to you , was : I think the New York Stock Exchange alone has twice as many employees as the SEC . We are not staffed to go ...
Página 29
... York at Foley Square . I am not only from the fourth circuit but I practiced law in a town of 10,000 people , and New York still impresses me a bit . I held that term of court for 15 trial days during the last week of February and the ...
... York at Foley Square . I am not only from the fourth circuit but I practiced law in a town of 10,000 people , and New York still impresses me a bit . I held that term of court for 15 trial days during the last week of February and the ...
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Términos y frases comunes
Advancement Devices alleged asked attorney Bill Casey Boggs Business Planning California Casey's Chairman Cold Cathode Committee on Banking CONGRESS THE LIBRARY copy counsel COURT Cuddahy D.C. DEAR SENATOR DEAR SENATOR SPARKMAN defendant director DISKIN DONNELLY Doundoulakis employee Eugene du Pont Exchange Commission fact February February 26 Fields filed GARFIELD hearing Honor Institute for Business interest International Rescue Committee investment investors involved JOHN SPARKMAN Judge CRAVEN jury Kalvar Corporation lawyer letter Madison Square Garden manuscript March material matter McCall NASD nomination Pay Plans person plaintiff Plaintiff's Exhibit Pont Prentice-Hall President public offering purchase question recollection record registrant Roosevelt Raceway Rothchild S. O. Systems Securities and Exchange Securities Exchange Senator BROOKE Senator PROXMIRE shareholders shares statement stockholders testified Thornton tion transaction transcript trial U.S. Senate Urban Affairs verdict wash sales Washington William Casey WILLIAM PROXMIRE York
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Página 442 - It shall be unlawful for any person, by the use of the mails or by any means or instrumentality of interstate commerce or of any facility of any national securities exchange...
Página 443 - manipulative, deceptive, or other fraudulent device or contrivance," as used in section 15 (c) (1) of the Act, is hereby defined to include any untrue statement of a material fact and any omission to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they are made, not misleading, which statement or omission is made with knowledge or reasonable grounds to believe that it is untrue or misleading. (<?) The scope of this rule shall not...
Página 754 - ... (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 443 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce or of the mails, or of any facility of any national securities exchange— [b] To use or employ, in connection with the purchase or sale of any security registered on a national securities exchange or any security not so registered...
Página 633 - Any issuer whose outstanding securities (other than short-term paper) are beneficially owned by not more than one hundred persons and which is not making and does not presently propose to make a public offering of its securities.
Página 442 - ... security which involves no change in the beneficial ownership thereof, or (B) to enter an order or orders for the purchase of such security with the knowledge that an order or orders of substantially the same size, at substantially the same time, and at substantially the same price, for the sale of any such security, has been or will be entered by or for the same or different parties...
Página 443 - 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 the purchase or sale of, any security (other than commercial paper, bankers...
Página 723 - SEC. 22. (a) A securities association registered under section 15A of the Securities Exchange Act of 1934 may prescribe, by rules adopted and in effect in accordance with said section and subject to all provisions of said section applicable to the rules of such an association — (1) a method or methods for computing the minimum price at which a member thereof may purchase from any investment company any...
Página 154 - The matter in controversy exceeds, exclusive of interest and costs, the sum of ten thousand dollars. (b) Jurisdiction founded on the existence of a Federal question and amount in controversy. The action arises under [the Constitution of the United States, Article , Section ]; [the Amendment to the Constitution of the United States, Section ]; [the Act of , Stat.
Página 442 - For the purpose of creating a false or misleading appearance of active trading in any security registered on a national securities exchange, or a false or misleading appearance with respect to the market...