Decisions and Reports, Volumen38U.S. Government Printing Office, 1960 |
Dentro del libro
Resultados 1-5 de 100
Página 10
... approval or direction , no broker or dealer may be admitted to or continued in membership in a national securi- ties association of such broker or dealer or any partner , officer , director or controlling or controlled person of such ...
... approval or direction , no broker or dealer may be admitted to or continued in membership in a national securi- ties association of such broker or dealer or any partner , officer , director or controlling or controlled person of such ...
Página 16
... APPROVAL OF CONTINUANCE IN MEMBERSHIP Employment of Person Convicted of Felony Application for approval of continuance in membership in national securities association of member employing a person who within the preceding 10 years had ...
... APPROVAL OF CONTINUANCE IN MEMBERSHIP Employment of Person Convicted of Felony Application for approval of continuance in membership in national securities association of member employing a person who within the preceding 10 years had ...
Página 17
... approval or direction if we find such action appropriate in the public interest . On May 3 , 1955 , Goldberg was convicted pursuant to a plea of guilty of violations of the anti - fraud provisions of the Securities Act of 1933 and the ...
... approval or direction if we find such action appropriate in the public interest . On May 3 , 1955 , Goldberg was convicted pursuant to a plea of guilty of violations of the anti - fraud provisions of the Securities Act of 1933 and the ...
Página 18
... approve the application . Accordingly , IT IS ORDERED that the application of the National Association of Securities Dealers , Inc. for approval of continuance of Clayton Securities Corporation in membership in the Association with ...
... approve the application . Accordingly , IT IS ORDERED that the application of the National Association of Securities Dealers , Inc. for approval of continuance of Clayton Securities Corporation in membership in the Association with ...
Página 27
... approval or direction , no broker or dealer may be admitted to or continued in membership in a national securities association if such broker or dealer or any partner , officer , director or branch manager or any controlling or ...
... approval or direction , no broker or dealer may be admitted to or continued in membership in a national securities association if such broker or dealer or any partner , officer , director or branch manager or any controlling or ...
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...