Nomination of William J. Casey, Hearings Before ... 92-1 ..., February 10 and March 9, 19711971 - 785 páginas |
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Página 2
... Securities and Investors Protection Association . Mr. Regan is a New Yorker . I know him very well personally and by reputation . He is most uniquely fitted for the post for which he will be considered by the committee , probably as ...
... Securities and Investors Protection Association . Mr. Regan is a New Yorker . I know him very well personally and by reputation . He is most uniquely fitted for the post for which he will be considered by the committee , probably as ...
Página 5
... securities and exchange matters . It is very expensive , time consuming , and much redtape is involved to go to the Securities and Exchange Commission with one of these registra- tions . And often small business finds it quite ...
... securities and exchange matters . It is very expensive , time consuming , and much redtape is involved to go to the Securities and Exchange Commission with one of these registra- tions . And often small business finds it quite ...
Página 7
... securities . And while I have not been in securities work and I have not been on Wall Street and have not represented , with one exception , brokerage houses or other firms in the securities business , I have had a great deal of ...
... securities . And while I have not been in securities work and I have not been on Wall Street and have not represented , with one exception , brokerage houses or other firms in the securities business , I have had a great deal of ...
Página 11
... securities . Mr. CASEY . That is correct . Senator BROCK . But the question that bothered me followed that when the Senator asked you something along the line , if I can para- phrase it you said these would be securities not under the ...
... securities . Mr. CASEY . That is correct . Senator BROCK . But the question that bothered me followed that when the Senator asked you something along the line , if I can para- phrase it you said these would be securities not under the ...
Página 13
... Securities and Exchange Commission , and the entire field of securities regulation . There are a number of areas that seem to me to be closely related to the basic regulation of securities . I am going to inquire about your attitude and ...
... Securities and Exchange Commission , and the entire field of securities regulation . There are a number of areas that seem to me to be closely related to the basic regulation of securities . I am going to inquire about your attitude and ...
Términos y frases comunes
Advancement Devices alleged asked attorney Bill Casey Boggs Business Planning California Casey's Chairman Cold Cathode Committee on Banking copy counsel COURT Cuddahy D.C. DEAR SENATOR dated 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 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 Ridgely Roosevelt Raceway Rothchild S. O. Systems Securities and Exchange Senator BROOKE Senator JOHN SPARKMAN Senator PROXMIRE shareholders shares statement stockholders testified Thornton tion told transaction transcript trial U.S. Senate Urban Affairs verdict wash sales Washington William Casey WILLIAM PROXMIRE York
Pasajes populares
Página 696 - ... 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 424 - 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 628 - 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 775 - ... (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 424 - 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 148 - 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 291 - Groves, was called as a witness, and having been first duly sworn, was examined and testified as follows : DIRECT EXAMINATION By Mr.
Página 420 - ... 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 626 - Among these exemptions is that provided by section 4(2) of the Act for transactions by an issuer not involving any public offering.
Página 626 - 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.