Proposed Amendments to the Securities Act of 1933 and to the Securities Exchange Act of 1934, Volumen3U.S. Government Printing Office, 1942 |
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Página 684
... effect , permit the Commission to exempt from inclusion as underwriters , with all their attendant duties and liabilities , persons who do not buy with a view to a public offering , or sell for an issuer in connection with a public ...
... effect , permit the Commission to exempt from inclusion as underwriters , with all their attendant duties and liabilities , persons who do not buy with a view to a public offering , or sell for an issuer in connection with a public ...
Página 685
... effect , acts first as a financial adviser , and second as an insurer to the corporation , and for that service he is entitled to a reasonable compensation which , how- ever , he receives only if all goes well with the sale of the issue ...
... effect , acts first as a financial adviser , and second as an insurer to the corporation , and for that service he is entitled to a reasonable compensation which , how- ever , he receives only if all goes well with the sale of the issue ...
Página 686
... effect of laws which prohibit their engaging in underwrit- ing . Of course the institutions can now buy new issues at the public offering price , or at a special price if that fact is disclosed to the public . What the Securities and ...
... effect of laws which prohibit their engaging in underwrit- ing . Of course the institutions can now buy new issues at the public offering price , or at a special price if that fact is disclosed to the public . What the Securities and ...
Página 689
... effect is about the same as would have been the case if it had been an underwriter . There was a very short period of time between the purchase and the resale - a " decent interval " to justify the statement , which I have no doubt was ...
... effect is about the same as would have been the case if it had been an underwriter . There was a very short period of time between the purchase and the resale - a " decent interval " to justify the statement , which I have no doubt was ...
Página 691
... 1940 until last spring when the Commission actually put into effect its rule U - 50 requiring competitive bidding on new issues of utility securities which are subject to regulation under 691 CLARENCE F LEA, California, Chairman.
... 1940 until last spring when the Commission actually put into effect its rule U - 50 requiring competitive bidding on new issues of utility securities which are subject to regulation under 691 CLARENCE F LEA, California, Chairman.
Términos y frases comunes
AMBERG amount annuity apply banks believe benefit plans bonds BOREN capital CHAIRMAN Commissioner PURCELL committee print competitive bidding Congress contributions corporation dealers disclosure discussed effect employee benefit Exchange Commission exemption fact Federal filed financing funds Gulf Power hearings Holding Company Act Industry Report insurance companies interest interstate commerce Interstate Commerce Act investment bankers Investment Company investors involved issuance issuer jurisdiction LATIMER legislation matter McGRANERY ment PADDOCK pension plans percent person ployees preferred stock present profit-sharing proposed amendment proposed section prospectus requirements protection provisions public offering Public Utility Holding purchase purpose pursuant question railroads reason REECE registration statement regulation rule section 12 Securities Act Securities and Exchange Securities Exchange Act securities industry sell sion sold STARKWEATHER statute stockholders suggested tion transactions trust UESCO underwriters Utility Holding Company Wadsworth Bill WOLVERTON YORK CURB EXCHANGE York Stock Exchange
Pasajes populares
Página 774 - ... in the light of the circumstances under which they were made, not misleading (the purchaser not knowing of such untruth or omission), and who shall not sustain the burden of proof that he did not know, and in the exercise of reasonable care could not have known, of such untruth or omission...
Página 774 - ... by means of a prospectus or oral communication, which includes an untrue statement of a material fact or omits to state a material fact necessary in order to make the statements, in the light of the circumstances under which they were made, not misleading...
Página 776 - Commission with respect to registration, any statement which was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact...
Página 708 - Any person who — ( 1 ) offers or sells a security in violation of section 5, or (2) offers or sells a security (whether or not exempted by the provisions of section 3, other than paragraph (2) of subsection (a) thereof), by the use of any means or instruments of transportation or communication in interstate commerce or of the mails...
Página 706 - People will endeavor to forecast the future and to make agreements according to their prophecy. Speculation of this kind by competent men is the selfadjustment of society to the probable. Its value is well known as a means of avoiding or mitigating catastrophes, equalizing prices, and providing for periods of want.
Página 982 - security" means any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profitsharing agreement...
Página 769 - UNITED STATES OF AMERICA BEFORE THE SECURITIES AND EXCHANGE COMMISSION At a regular session of the Securities and Exchange Commission, held at its office in the City of Washington, DC, on the day of AJD.
Página 931 - Any person who shall willfully make any false entry in the accounts of any book of accounts, or in any record or memoranda kept by a carrier, or who shall willfully destroy, mutilate, alter, or by any other means or device falsify the record of any such account, record, or memoranda, or who shall willfully neglect or fail to make full, true, and correct entries in such accounts, records, or memoranda...
Página 773 - ... he had, after reasonable investigation, reasonable ground to believe and did believe, at the time such part of the registration statement became effective, that the statements therein were true and that there was no omission to state a material fact required to be stated therein or necessary to make the statements therein not misleading...
Página 978 - Any insurance or endowment policy or annuity contract or optional annuity contract, issued by a corporation subject to the supervision of the insurance commissioner, bank commissioner, or any agency or officer performing like functions, of any State or Territory of the United States or the District of Columbia...