Proposed Amendments to the Securities Act of 1933 and to the Securities Exchange Act of 1934, Volumen3U.S. Government Printing Office, 1942 |
Dentro del libro
Resultados 1-5 de 56
Página 694
... involved at present under section 11 of the 1933 act on documents with which they have had nothing to do in the preparation but for which , nevertheless , from that time on they are fully responsible . Bear in mind that securities are ...
... involved at present under section 11 of the 1933 act on documents with which they have had nothing to do in the preparation but for which , nevertheless , from that time on they are fully responsible . Bear in mind that securities are ...
Página 695
... involved , and approving the issue for sale at not less than a minimum price which after study they regard as reasonable . From that point on the underwriters and the companies have argued it out . But the Securities and Exchange ...
... involved , and approving the issue for sale at not less than a minimum price which after study they regard as reasonable . From that point on the underwriters and the companies have argued it out . But the Securities and Exchange ...
Página 700
... involved , but when the company itself offers stock , the matter of price seems to be of comparatively slight significance , because the Commission exempted the Louisville Gas stock from the operation . of its rule U - 50 and permitted ...
... involved , but when the company itself offers stock , the matter of price seems to be of comparatively slight significance , because the Commission exempted the Louisville Gas stock from the operation . of its rule U - 50 and permitted ...
Página 701
... involved . It undoubtedly will be justified in doing just what any store or any seller of merchandise does ; that is , lay the article on the table and let the buyer take it or leave it . The buyer is privileged to make such an ...
... involved . It undoubtedly will be justified in doing just what any store or any seller of merchandise does ; that is , lay the article on the table and let the buyer take it or leave it . The buyer is privileged to make such an ...
Página 703
... involved not only in this proposal but also in what we believe to be the unwarranted expansion of Securities and Exchange authority under the 1935 act . The CHAIRMAN . Mr. Starkweather , under the rules of the Commis- sion , what time ...
... involved not only in this proposal but also in what we believe to be the unwarranted expansion of Securities and Exchange authority under the 1935 act . The CHAIRMAN . Mr. Starkweather , under the rules of the Commis- sion , what time ...
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...