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, Partes1-2U.S. Government Printing Office, 1952 - 1224 páginas |
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... Lund , Anthon H. , Director , Division of Trading and Exchanges , Securities and Exchange Commission 605 , 635 Mann , John J. , chairman , board of governors , New York Curb Ex- change .. 820 , 840 785 , 840 56 9 , 43 , McCormick ...
... Lund , Anthon H. , Director , Division of Trading and Exchanges , Securities and Exchange Commission 605 , 635 Mann , John J. , chairman , board of governors , New York Curb Ex- change .. 820 , 840 785 , 840 56 9 , 43 , McCormick ...
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... Lund , Anthon H .: Applications for confidential treatment under the Securities Ex- change Act of 1934 . 682 Broker dealer applications . 643 Delisting of securities from exchanges .. 630 Statement on regulation of " pegging , fixing ...
... Lund , Anthon H .: Applications for confidential treatment under the Securities Ex- change Act of 1934 . 682 Broker dealer applications . 643 Delisting of securities from exchanges .. 630 Statement on regulation of " pegging , fixing ...
Página 443
... Lund . Budget Bureau No. 71 - R093.7 Approval expires December 31 , 1952 SECURITIES AND EXCHANGE COMMISSION REGIONAL OFFICE 350 Peachtree - Seventh Building , Atlanta , Ga . Re : : Our records show that on DEAR a letter of notification ...
... Lund . Budget Bureau No. 71 - R093.7 Approval expires December 31 , 1952 SECURITIES AND EXCHANGE COMMISSION REGIONAL OFFICE 350 Peachtree - Seventh Building , Atlanta , Ga . Re : : Our records show that on DEAR a letter of notification ...
Página 605
... LUND . I do . Mr. HELLER . Give your full name and address , please . Mr. LUND . My name is Anthon H. Lund , Shadyside , Md . Mr. HELLER . Would you tell us about your educational and business background ? Mr. LUND . After finishing ...
... LUND . I do . Mr. HELLER . Give your full name and address , please . Mr. LUND . My name is Anthon H. Lund , Shadyside , Md . Mr. HELLER . Would you tell us about your educational and business background ? Mr. LUND . After finishing ...
Página 606
... LUND . From probably 1934 to 1941 I was a group head in the Corporation Finance Division substantially all of that period . In 1941 I transferred to the Investment Company Division which was newly created and I was there about 1 year as ...
... LUND . From probably 1934 to 1941 I was a group head in the Corporation Finance Division substantially all of that period . In 1941 I transferred to the Investment Company Division which was newly created and I was there about 1 year as ...
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Términos y frases comunes
accounting firm action amendment American amount application assets attorneys BANE broker-dealer brokers BYRNE capital certified Chairman Chairman HELLER Commissioner Cook Commissioner MCENTIRE Commissioner ROWEN committee common stock Corp corporation correct counsel court Date of order dealers debenture Debtor directors effective Exchange Commission exemption fact filed financial statements fraud Gas & Electric Holding Company Act Injunction issued interest investigation investment company investors issuer Kaiser-Frazer LUND McDONALD ment NASD national securities exchange offering period person Power & Light preferred stock problem proceedings prospectus provides proxy Public Utilities pursuant regional office Registration revoked registration statement regulation release reorganization reports requested rules section 11 Securities Act Securities and Exchange Securities Exchange Act security holders selling shares sold stabilizing staff statute Stock Exchange subsidiaries tion Trading and Exchanges transactions trustee underwriters violation YOHALEM York York Curb Exchange York Stock Exchange
Pasajes populares
Página 560 - ... 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 576 - 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 382 - ... 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 129 - It shall be unlawful for any person, by the use of the mails or by any means or instrumentality of interstate commerce...
Página 675 - ... (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 560 - 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 560 - 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 29 - 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...
Página 578 - ... to be determined in the light of all the facts and circumstances surrounding the applicant's entire operations.