Decisions and Reports, Volumen38U.S. Government Printing Office, 1960 |
Dentro del libro
Resultados 1-5 de 100
Página 19
... registration statement contains materially misleading statements and omissions with respect to , among other things ... registration statement . Description of Business Where registration statement of newly formed company proposing to ...
... registration statement contains materially misleading statements and omissions with respect to , among other things ... registration statement . Description of Business Where registration statement of newly formed company proposing to ...
Página 20
... registration statement filed on Form S - 2 on April 20 , 1956 , by Republic Cement Corporation ( " registrant ... registration form . DESCRIPTION OF BUSINESS AND PROPERTY Market for Cement The registration statement represents that ...
... registration statement filed on Form S - 2 on April 20 , 1956 , by Republic Cement Corporation ( " registrant ... registration form . DESCRIPTION OF BUSINESS AND PROPERTY Market for Cement The registration statement represents that ...
Página 22
... statement is grossly misleading in view of registrant's marketing problems . The registration statement should have disclosed that registrant did not have the benefit of a market survey or analysis and should have set forth facts which ...
... statement is grossly misleading in view of registrant's marketing problems . The registration statement should have disclosed that registrant did not have the benefit of a market survey or analysis and should have set forth facts which ...
Página 23
... registration statement that the estimated construction cost of registrant's plant will be $ 6,586,000 plus a con- tract fee , is misleading in view of the absence of disclosure that it fails to include items which may be found necessary ...
... registration statement that the estimated construction cost of registrant's plant will be $ 6,586,000 plus a con- tract fee , is misleading in view of the absence of disclosure that it fails to include items which may be found necessary ...
Página 25
... registration statement should have stated that Burney C. Prigge , president and principal promoter of registrant , has waived his rights to participate as owner of 566,970 shares in a distribution of assets on liquidation under certain ...
... registration statement should have stated that Burney C. Prigge , president and principal promoter of registrant , has waived his rights to participate as owner of 566,970 shares in a distribution of assets on liquidation under certain ...
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...