Proposed Amendments to the Securities Act of 1933 and to the Securities Exchange Act of 1934, Volumen5U.S. Government Printing Office, 1942 |
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Página 1301
... respect the law suc- ceeded . But the little fellow now faces new terrors of " shooting the chutes " and of mad ups and downs . This newly created danger can be avoided by slight changes in the law without impairing the prin- ciple of ...
... respect the law suc- ceeded . But the little fellow now faces new terrors of " shooting the chutes " and of mad ups and downs . This newly created danger can be avoided by slight changes in the law without impairing the prin- ciple of ...
Página 1318
... RESPECT TO LISTED SECURITIES ( SEC . 12 ( b ) AND 13 ( a ) ) Equalize requirements for listed and unlisted securities . Now they are more strict for listed securities and therefore deter listing . Such equalization would bring more ...
... RESPECT TO LISTED SECURITIES ( SEC . 12 ( b ) AND 13 ( a ) ) Equalize requirements for listed and unlisted securities . Now they are more strict for listed securities and therefore deter listing . Such equalization would bring more ...
Página 1321
... respect to the proposals to amend sections 8 , 14 , and 16 ( a ) of the act . This extension of jurisdiction is supposed to eliminate distinctions which now favor , through ab- sence of regulation , the over - the - counter broker and ...
... respect to the proposals to amend sections 8 , 14 , and 16 ( a ) of the act . This extension of jurisdiction is supposed to eliminate distinctions which now favor , through ab- sence of regulation , the over - the - counter broker and ...
Página 1323
... respect to an exchange means any person , firm , organization , or corporation which holds any form of mem- bership in the exchange or is permitted either to effect transactions on the exchange without the services of another person ...
... respect to an exchange means any person , firm , organization , or corporation which holds any form of mem- bership in the exchange or is permitted either to effect transactions on the exchange without the services of another person ...
Página 1327
... respect to listed securities , " and par- ticularly to subsection ( H ) of section 12 ( b ) and section 13 ( a ) of the committee print having to do with " Material contracts made not in the ordinary course of business . " If we are to ...
... respect to listed securities , " and par- ticularly to subsection ( H ) of section 12 ( b ) and section 13 ( a ) of the committee print having to do with " Material contracts made not in the ordinary course of business . " If we are to ...
Términos y frases comunes
A. P. Giannini administrative America California America N. T. America National Trust application Bank of America BOREN buying CHAIRMAN Chicago Stock Exchange Commission's committee common stock Congress court dealers December directors effect Exchange Commission exemption fact Federal filed Francisco Stock Exchange Gas & Electric Holding Company Act industry investors issuer issues January January 12 listed Louisville Gas matter McGRANERY ment November 22 offering officers opinion Order for Hearing over-the-counter percent person present president proceeding proposed amendments prospectus provisions Public Utility Holding Purcell purchase purpose reasonable record regional exchanges registration statement representatives requirements rules and regulations San Francisco Stock Savings Association section 16 Securities Act Securities and Exchange Securities Exchange Act selling shares SMITH sold speculation staff statute stockholders subsidiaries Timetrust tion trading transactions Transamerica Corporation TWOMBLY underwriter Utility Holding Company Wadsworth York Curb Exchange York Stock Exchange YOUNGDAHL
Pasajes populares
Página 1405 - Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper. The Commission may modify its findings as to the facts, or make new findings, by reason of the additional evidence so taken...
Página 1510 - ... under common control with, the person specified. (b) Control. The term "control" (including the terms "controlling", "controlled by" and "under common control with") means the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a person, whether through the ownership of voting securities, by contract...
Página 1543 - Commission shall have reason to believe that any such person, partnership, or corporation has been or is using any unfair method of competition or unfair or deceptive act or practice in commerce, and if it shall appear to the Commission that a proceeding by it in respect thereof would be to the interest of the public...
Página 1445 - ... of the value of securities and thus prevent a fair calculation of taxes owing to the United States and to the several States by owners, buyers, and sellers of securities, and (c) prevent the fair valuation of collateral for bank loans and/or obstruct the effective operation of the national banking system and Federal Reserve System. (4) National emergencies, which produce widespread unemployment and the dislocation of trade, transportation, and industry, and which burden interstate commerce and...
Página 1406 - Any person who (1) offers or sells a security in violation of section 5, or (2) offers or sells a security (whether or not exempted by the provisions of section 3, other than paragraph (2) of subsection (a) thereof), by the use of any means or instruments of transportation or communication in interstate commerce or of the mails...
Página 1406 - ... 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 (the purchaser not knowing of such untruth or omission...
Página 1399 - Commission is responsible for the administration and enforcement of the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.
Página 1411 - A security registered with a national securities exchange may be withdrawn or stricken from listing and registration in accordance with the rules of the exchange and, upon such terms as the Commission may deem necessary to impose for the protection of investors...
Página 1408 - ... Securities Exchange Act of 1934." NECESSITY FOR REGULATION AS PROVIDED IN THIS TITLE SEC. 2. For the reasons hereinafter enumerated, transactions in securities as commonly conducted upon securities exchanges and over-the-counter markets are affected with a national public interest which makes it necessary to provide for regulation and control of such transactions and of practices and matters related thereto...
Página 1508 - For the purpose of any such investigation, or any other proceeding under this title, any member of the Commission or any officer designated by it is empowered to administer oaths and affirmations, subpena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, or other records which the Commission deems relevant or material to the inquiry.