Nomination of William J. Casey, Hearings Before ... 92-1 ..., February 10 and March 9, 1971

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Página 690 - ... 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 422 - It shall be unlawful for any person, by the use of the mails or by any means or instrumentality of interstate commerce or of any facility of any national securities exchange or otherwise to solicit or to permit the use of his name to solicit any proxy or consent or authorization in respect of any security (other than an exempted security) registered on any national securities exchange...
Página 622 - An unforeseen change of circumstances since the date of purchase may be a basis for an opinion that the proposed resale is not inconsistent with an investment representation. However, such claim must be considered in the light of all of the relevant facts. Thus, an advance or decline in market price or a change in the issuer's operating results are normal investment risks and do not usually provide an acceptable basis for such claim of changed circumstances. Possible inability of the purchaser to...
Página 769 - ... (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 422 - It shall be unlawful for any person, directly or indirectly, by the use of the mails or any means or instrumentality of interstate commerce, or of any facility of any national securities exchange, or for any member of a national securities exchange...
Página 150 - 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 293 - Groves, was called as a witness, and having been first duly sworn, was examined and testified as follows : DIRECT EXAMINATION By Mr.
Página 418 - ... of such an association — (1) a method or methods for computing the minimum price at which a member thereof may purchase from any investment company any...
Página 621 - Among these exemptions is that provided by section 4(2) of the Act for transactions by an issuer not involving any public offering.
Página 621 - Since exempt transactions are those as to which "there is no practical need for [the bill's] application," the applicability of §4(1) should turn on whether the particular class of persons affected needs the protection of the Act. An offering to those who are shown to be able to fend for themselves is a transaction "not involving any public offering.

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