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 |
Dentro del libro
Resultados 1-5 de 100
Página 9
... person , and I look forward to working with him . I was assigned just yesterday to the securities subcommittee , and I expect that I will be seeing him in that capacity and look forward to having the benefit of working with him ...
... person , and I look forward to working with him . I was assigned just yesterday to the securities subcommittee , and I expect that I will be seeing him in that capacity and look forward to having the benefit of working with him ...
Página 10
... person who is cut off from access to both credit and to capital funds is the smaller businessman . We have seen a cycle here in the last couple of years where the smaller businessman needing capital or needing loan funds goes to the ...
... person who is cut off from access to both credit and to capital funds is the smaller businessman . We have seen a cycle here in the last couple of years where the smaller businessman needing capital or needing loan funds goes to the ...
Página 14
... persons to fear that the back office problems of last year may again reappear . Mr. Donald Regan of Merrill Lynch , Pierce , Fenner & Smith , Inc. recently suggested that the SEC might promulgate rules which would limit the trading ...
... persons to fear that the back office problems of last year may again reappear . Mr. Donald Regan of Merrill Lynch , Pierce , Fenner & Smith , Inc. recently suggested that the SEC might promulgate rules which would limit the trading ...
Página 22
... person . In view of the fact that you might very well be the chairman of the Commission when the President should come forth with that kind of a proposal , it would be very interesting to me to have your views on whether or not you feel ...
... person . In view of the fact that you might very well be the chairman of the Commission when the President should come forth with that kind of a proposal , it would be very interesting to me to have your views on whether or not you feel ...
Página 28
... person he wishes to call as a witness . I now ask Senator Proxmire if he would like to present a brief statement . Senator PROXMIRE . Thank you , Mr. Chairman . Mr. Chairman , I am glad that the committee has decided to reopen the ...
... person he wishes to call as a witness . I now ask Senator Proxmire if he would like to present a brief statement . Senator PROXMIRE . Thank you , Mr. Chairman . Mr. Chairman , I am glad that the committee has decided to reopen the ...
Otras ediciones - Ver todas
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...