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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... investment company acquires 10 percent or more of stock of public utility operating company . Circumstances under which a certain hypothetical company might not qualify as an investment company- Classification of 216 management investment ...
... investment company acquires 10 percent or more of stock of public utility operating company . Circumstances under which a certain hypothetical company might not qualify as an investment company- Classification of 216 management investment ...
Página 5
... Company Act , and the Investment Company Act . These sections are initially responsible for the processing of registration state- ments , annual , current , and other reports , proxy statements , applications for exemption ...
... Company Act , and the Investment Company Act . These sections are initially responsible for the processing of registration state- ments , annual , current , and other reports , proxy statements , applications for exemption ...
Página 6
... Investment Company Act of 1940 , the most recent of the " securities acts , " and has been adapted to the additional duties undertaken as administration of new statutes was delegated to the Commission . It is now employed not only with ...
... Investment Company Act of 1940 , the most recent of the " securities acts , " and has been adapted to the additional duties undertaken as administration of new statutes was delegated to the Commission . It is now employed not only with ...
Página 10
... company of Cleveland , in a minor capacity . I was known as what was called a municipal agent arranging for street lighting and the like . It was a very minor position ... Investment Co. , 10 STUDY OF SECURITIES AND EXCHANGE COMMISSION.
... company of Cleveland , in a minor capacity . I was known as what was called a municipal agent arranging for street lighting and the like . It was a very minor position ... Investment Co. , 10 STUDY OF SECURITIES AND EXCHANGE COMMISSION.
Página 66
... invest- ment in new issues , on securities trading , on the affairs of our giant public utility holding company systems , on our investment companies . The aim of the Con- gress in passing these laws and our aim in enforcing them is to ...
... invest- ment in new issues , on securities trading , on the affairs of our giant public utility holding company systems , on our investment companies . The aim of the Con- gress in passing these laws and our aim in enforcing them is to ...
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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.