Nomination of William J. Casey: Hearings, Ninety-second Congress, First Session, on the Nomination of William J. Casey to be a Member of the Securities and Exchange Commission. February 10 and March 9, 1971, Volúmenes22-23U.S. Government Printing Office, 1971 - 785 páginas |
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Página iv
... investment activities__ . Telegram concerning preparation of filing of transcript_ 117 111 146 Cherne , Leo , Research Institute of America , statement before the com- mittee__ 70 Craven , J. Braxton , Jr. U.S. judge : Letters : Kenneth ...
... investment activities__ . Telegram concerning preparation of filing of transcript_ 117 111 146 Cherne , Leo , Research Institute of America , statement before the com- mittee__ 70 Craven , J. Braxton , Jr. U.S. judge : Letters : Kenneth ...
Página 7
... investment advisory firin in New York which will have full discre- tion with respect to investments . Senator PROXMIRE . You will have no control ? Mr. CASEY . No control . Senator PROXMIRE . You will have no ownership of any securities ...
... investment advisory firin in New York which will have full discre- tion with respect to investments . Senator PROXMIRE . You will have no control ? Mr. CASEY . No control . Senator PROXMIRE . You will have no ownership of any securities ...
Página 10
... investment banker and he is told that money is tight and he can't get it . He reads in the paper every day where larger businesses get this on their own . security . I would like to see some program developed which would help a steady ...
... investment banker and he is told that money is tight and he can't get it . He reads in the paper every day where larger businesses get this on their own . security . I would like to see some program developed which would help a steady ...
Página 11
... invest in industrial companies and financial companies , banks and insurance companies which are broadly traded under the broad general super- vision of the SEC . So what I am saying is , I will instruct my investment adviser in the ...
... invest in industrial companies and financial companies , banks and insurance companies which are broadly traded under the broad general super- vision of the SEC . So what I am saying is , I will instruct my investment adviser in the ...
Página 14
... investment banking functions and strictly trading fuictions , recognizing the fact that the former functions may create problems which are not encountered with the latter . 6. We have been encountering extremely high volumes of trading ...
... investment banking functions and strictly trading fuictions , recognizing the fact that the former functions may create problems which are not encountered with the latter . 6. We have been encountering extremely high volumes of trading ...
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Términos y frases comunes
Advancement Devices alleged answer asked attorney Bill Casey Boggs Business Planning California Casey's Chairman Cold Cathode Committee on Banking copy counsel COURT Cuddahy D.C. DEAR SENATOR DEAR SENATOR SPARKMAN defendant director DISKIN DONNELLY Doundoulakis employee Eugene du Pont Exchange Commission fact February February 26 Fields filed GARFIELD hearing Honor Institute for Business interest International Rescue Committee investment investors involved JOHN SPARKMAN Judge CRAVEN jury Kalvar Corporation lawyer letter Madison Square Garden manuscript March material matter McCall NASD nomination Pay Plans person plaintiff Plaintiff's Exhibit Pont Prentice-Hall President public offering purchase question recollection record registrant Roosevelt Raceway Rothchild Securities and Exchange Securities Exchange Senator BROOKE Senator JOHN SPARKMAN Senator PROXMIRE shareholders shares statement stockholders testified Thornton tion transaction transcript trial U.S. Senate Urban Affairs verdict wash sales Washington William Casey WILLIAM PROXMIRE York
Pasajes populares
Página 442 - ... an order or orders for the purchase of such security with the knowledge that an order or orders of substantially the same size, at substantially the same time, and at substantially the same price, for the sale of any such security, has been or will be entered by or for the same or different parties, or (C) to enter any order or orders for the sale of any such security with the knowledge that an order or orders of substantially the same size, at substantially the same time, and at substantially...
Página 441 - ... any partner, officer, director, or branch manager of such broker or dealer (or any person occupying a similar status or performing similar functions), or any person directly or indirectly controlling or controlled by such broker or dealer...
Página 718 - ... that the same is true of his own knowledge, except as to matters therein stated to be alleged upon information and belief, and that as to those matters he believes it to be true.
Página 442 - For the purpose of creating a false or misleading appearance of active trading in any security registered on a national securities exchange, or a false or misleading appearance with respect to the market for any such security...
Página 739 - ... for the purpose of raising or depressing the prices of such security. (4) If a dealer or broker, or other person selling or offering for sale or purchasing or offering to purchase the security, to make, regarding any security registered on a national securities exchange, for the purpose of inducing the. purchase or sale of such security...
Página 443 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails or of any facility of any national securities exchange, "(a) To employ any device, scheme, or artifice to defraud...
Página 154 - The matter in controversy exceeds, exclusive of interest and costs, the sum of ten thousand dollars. (b) Jurisdiction founded on the existence of a Federal question and amount in controversy. The action arises under [the Constitution of the United States, Article , Section ]; [the Amendment to the Constitution of the United States, Section ]; [the Act of , Stat.
Página 443 - 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...
Página 639 - The natural way to interpret the private offering exemption is in light of the statutory purpose. Since exempt transactions are those as to which "there is no practical need for [the bill's] application...
Página 767 - Casey served for many years as Chairman of the Board of Editors of the Research Institute of America, and as Chairman of the Board of Editors of the Institute for Business Planning, a subsidiary of Prentice-Hall.