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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... court cases handled by the regional offices Chapter X proceedings instituted from 1945 to December 31 , 1951 , in which the Commission has participated 478 498 Court actions instituted by the Commission under the Holding Company Act of ...
... court cases handled by the regional offices Chapter X proceedings instituted from 1945 to December 31 , 1951 , in which the Commission has participated 478 498 Court actions instituted by the Commission under the Holding Company Act of ...
Página 80
... court compelling the filing of the required reports . At June 30 , 1951 , 2,188 issuers had 3,523 security issues ... courts by management and by security holders who 80 STUDY OF SECURITIES AND EXCHANGE COMMISSION.
... court compelling the filing of the required reports . At June 30 , 1951 , 2,188 issuers had 3,523 security issues ... courts by management and by security holders who 80 STUDY OF SECURITIES AND EXCHANGE COMMISSION.
Página 81
... courts by management and by security holders who , the courts have held , have a private right of action based on ... court the benefit of its experience in the administration of the securities acts . GENERAL MARKET REGULATION While ...
... courts by management and by security holders who , the courts have held , have a private right of action based on ... court the benefit of its experience in the administration of the securities acts . GENERAL MARKET REGULATION While ...
Página 84
... court to enjoin further activities that would prejudice customers and for the appointment of a receiver . As early as 1937 it became clear that a program of inspection of brokers and dealers was necessary . These inspections are ...
... court to enjoin further activities that would prejudice customers and for the appointment of a receiver . As early as 1937 it became clear that a program of inspection of brokers and dealers was necessary . These inspections are ...
Página 159
... court of competent jurisdiction , from engaging in or conducting any practice in connection with the purchase or sale of any security , ( 3 ) was convicted of any felony or misdemeanor involving the purchase or sale of any security or ...
... court of competent jurisdiction , from engaging in or conducting any practice in connection with the purchase or sale of any security , ( 3 ) was convicted of any felony or misdemeanor involving the purchase or sale of any security or ...
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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.