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 ii
... Director and General Counsel JOHN R. EVANS , Minority Staff Director ( II ) Юарти 4-21-21 775 CONTENTS ( Attention should be drawn to.
... Director and General Counsel JOHN R. EVANS , Minority Staff Director ( II ) Юарти 4-21-21 775 CONTENTS ( Attention should be drawn to.
Página iv
... director . Prepared statement ... Review of matters raised since inception of confirmation hearing- Review of security holdings and investment activities .. Telegram concerning preparation of filing of transcript_ . mittee__ Cherne ...
... director . Prepared statement ... Review of matters raised since inception of confirmation hearing- Review of security holdings and investment activities .. Telegram concerning preparation of filing of transcript_ . mittee__ Cherne ...
Página 48
... directors authorized this program . Mr. Doundoulakis provided L. H. Rothchild with in- formation and L. H. Rothchild ... director of this company until August 1969. Similarly , Hall , Casey , Dickler & Howley did not resume doing legal ...
... directors authorized this program . Mr. Doundoulakis provided L. H. Rothchild with in- formation and L. H. Rothchild ... director of this company until August 1969. Similarly , Hall , Casey , Dickler & Howley did not resume doing legal ...
Página 56
... directors of Roosevelt Raceway . When were you named to the board ? Mr. CASEY . In August of 1969 . Senator WILLIAMS ... director of the raceway . He agreed to get off if I would succeed him and Mr. Levy and Danzansky asked me to go on ...
... directors of Roosevelt Raceway . When were you named to the board ? Mr. CASEY . In August of 1969 . Senator WILLIAMS ... director of the raceway . He agreed to get off if I would succeed him and Mr. Levy and Danzansky asked me to go on ...
Página 61
... director or officer in a corporation that originally had been your client or perhaps you had created ? Mr. CASEY . Well , frequently it does develop that way . I think there are grave questions as to whether it is prudent for a lawyer ...
... director or officer in a corporation that originally had been your client or perhaps you had created ? Mr. CASEY . Well , frequently it does develop that way . I think there are grave questions as to whether it is prudent for a lawyer ...
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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
Pasajes populares
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...