Study of Securities and Exchange Commission: Hearings Before a Subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Eighty-second Congress, Second Session, on Powers, Duties, and Functions of Securities and Exchange Commission, Partes1-2
U.S. Government Printing Office, 1952 - 1224 páginas
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accountant action additional amendment American amount answer application assets attorneys BANE brokers BYRNE capital certified Chairman Commission Commissioner McENTIRE committee common stock connection Corp corporation correct counsel course court dealers directors distribution Division effective Electric Exchange fact filed firm give held holders Holding Company Holding Company Act included independent indicated interest investment company investors involved issued June letter Light listed Loss LUND matter McDONALD ment Name offering operating opinion percent period person Power practice preferred present problem proceedings proposed prospectus provides proxy question record regional office registration statement regulation release reports requested respect result rules section 11 securities Service shares sold stabilizing staff statute stockholders subsidiaries thing tion trading trustee United Utilities violation York
Página 562 - ... 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 1 - House shall exercise continuous watchfulness of the execution by the administrative agencies concerned of any laws, the subject matter of which is within the jurisdiction of such committee; and, for that purpose, shall study all pertinent reports and data submitted to the House by the agencies in the executive branch of the Government.
Página 578 - SEC. 326. Except as otherwise expressly provided, nothing in this title shall affect (1) the jurisdiction of the Commission under the Securities Act of 1933, or the Securities Exchange Act of 1934, or...
Página 384 - ... if and to the extent that such exemption is necessary or appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policy and provisions of this title.
Página 131 - It shall be unlawful for any person, by the use of the mails or by any means or instrumentality of interstate commerce...
Página 677 - ... (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 562 - affiliate" of, or a person "affiliated" with, a specified person, is a person that directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with, the person specified.
Página 562 - material", when used to qualify a requirement for the furnishing of information as to any subject, limits the information required to those matters as to which an average prudent investor ought reasonably to be informed before buying or selling the security registered.
Página 31 - Premiums and discount and expense on securities retired. If any material amount of long-term debt or preferred shares was retired, and if either the retirement was made at a premium or there remained, at the time of retirement, a material amount of...