Decisions and Reports, Volumen38U.S. Government Printing Office, 1960 |
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United States. Securities and Exchange Commission. OF MICHIGAN AUG 30 1960 LIBRARY COMMISSION DECISIONS AND REPORTS SECURITIES AND EXCHANGE COMMISSIONS VOLUME 38 THE UNIVERSI.
United States. Securities and Exchange Commission. OF MICHIGAN AUG 30 1960 LIBRARY COMMISSION DECISIONS AND REPORTS SECURITIES AND EXCHANGE COMMISSIONS VOLUME 38 THE UNIVERSI.
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United States. Securities and Exchange Commission. COMMISSION DECISIONS AND REPORTS SECURITIES AND EXCHANGE COMMISSIONS VOLUME 38 July 1 , 1957 , to March 31 , 1959 UNITED STATES GOVERNMENT PRINTING OFFICE WASHINGTON : 1960 For sale by ...
United States. Securities and Exchange Commission. COMMISSION DECISIONS AND REPORTS SECURITIES AND EXCHANGE COMMISSIONS VOLUME 38 July 1 , 1957 , to March 31 , 1959 UNITED STATES GOVERNMENT PRINTING OFFICE WASHINGTON : 1960 For sale by ...
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United States. Securities and Exchange Commission. NATIONAL ASSOCIATION OF SECURITIES DEALERS , INC . 17 relief from ... commissions . In October 1951 the NASD had fined Goldberg in proceedings in- volving the same conduct , and he had ...
United States. Securities and Exchange Commission. NATIONAL ASSOCIATION OF SECURITIES DEALERS , INC . 17 relief from ... commissions . In October 1951 the NASD had fined Goldberg in proceedings in- volving the same conduct , and he had ...
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United States. Securities and Exchange Commission. The order for hearing alleged that Regulation A had not been ... commissions would be paid nor any expenses incurred in connection with the sale of the stock except the expenses , esti ...
United States. Securities and Exchange Commission. The order for hearing alleged that Regulation A had not been ... commissions would be paid nor any expenses incurred in connection with the sale of the stock except the expenses , esti ...
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United States. Securities and Exchange Commission. purchase 3 shares . Proceeds to Northeastern were $ 90 per unit or ... commissions and expense --- 4,853 , 025 460 , 000 4,393 , 025 17 , 186 , 569 Total ... The net cash amount raised by ...
United States. Securities and Exchange Commission. purchase 3 shares . Proceeds to Northeastern were $ 90 per unit or ... commissions and expense --- 4,853 , 025 460 , 000 4,393 , 025 17 , 186 , 569 Total ... The net cash amount raised by ...
Otras ediciones - Ver todas
Decisions and Reports, Volumen3 United States. Securities and Exchange Commission Vista completa - 1940 |
Decisions and Reports, Volumen9 United States. Securities and Exchange Commission Vista completa - 1943 |
Decisions and Reports, Volumen4 United States. Securities and Exchange Commission Vista completa - 1940 |
Términos y frases comunes
Act and Rule Act of 1934-Sections amendment amount application for registration assets Bellanca bonds books and records broker and dealer broker or dealer BROKER-DEALER REGISTRATION capital Columbia Commission Chairman Gadsby Commissioners Orrick common stock Corporation customers debentures December 31 director disclose Division of Trading effect false and misleading FINDINGS AND OPINION Gadsby and Commissioners Gulf Interstate hearing examiner held holding company interest to revoke issuance issuer misleading statements NASD national securities association national securities exchange natural gas offering circular officer operating order of revocation par value preferred stock proposed prospectus protection of investors provides proxy public interest public offering purchase pursuant to Section regis registered broker-dealer registrant's REGISTRATION Grounds registration statement Regulation revoke the registration Section 15 Section 17(a Securities Act Securities Exchange Act sell shares sold stockholders stop order subsidiary suspend thereunder tion transactions underwriter violation of Section withdrawal
Pasajes populares
Página 84 - ... forfeiture ; but no individual shall be prosecuted or subjected to any penalty or forfeiture for or on account of any transaction, matter, or thing concerning which he is compelled, after having claimed his privilege against self-incrimination, to testify or produce evidence, except that such individual so testifying shall not be exempt from prosecution and punishment for perjury committed in so testifying.
Página 20 - Commission under authority thereof, or any person who willfully, in a registration statement filed under this title, makes any untrue statement of a material fact or omits to state any material fact required to be stated therein or necessary to make the statements therein not misleading, shall upon conviction be fined not more than $5,000 or imprisoned not more than five years, or both.
Página 203 - If it appears to the Commission at any time that the registration statement includes any untrue statement of a material fact or omits to state any material fact required to be stated therein or necessary to make the statements therein not misleading...
Página 564 - ... from engaging in or continuing any conduct or practice in connection with any such activity, or in connection with the purchase or sale of any security...
Página 82 - The Commission may deny, temporarily or permanently, the privilege of appearing or practicing before it in any way to any person who is found by the Commission after...
Página 386 - underwriter" means any person who has purchased from an issuer with a view to, or offers or' sells for an issuer in connection with, the distribution of any security, or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in the direct or indirect underwriting of any such undertaking; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary...
Página 194 - As applied to electric utility companies, a system consisting of one or more units of generating plants and/or transmission lines and/or distribution facilities, whose utility assets, whether owned by one or more electric utility companies, are physically interconnected or capable of physical interconnection and which under normal conditions may be economically operated as a single interconnected and coordinated system confined in its operations to a single area or region, in one or more States,...
Página 600 - It shall be unlawful for any person in the offer or sale of any securities by the use of any means or instruments of transportation or communication in interstate commerce or by the use of the mails, directly or indirectly — (1) to employ any device, scheme, or artifice to defraud...
Página 207 - ... did not know, and in the exercise of reasonable care could not have known, of such untruth or omission...
Página 305 - 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...