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 681
... tion , National Association of Security Dealers , New York Curb Exchange , and New York Stock Exchange-- Joint statement by the Securities and Exchange Commission , the representatives of the Investment Bankers Association , the Na ...
... tion , National Association of Security Dealers , New York Curb Exchange , and New York Stock Exchange-- Joint statement by the Securities and Exchange Commission , the representatives of the Investment Bankers Association , the Na ...
Página 691
... tion , or practice of the United States , of any State or subdivision thereof . This proposal would eliminate the section 11 liabilities of under- writers in competitive bidding cases , and for this reason deserves careful analysis ...
... tion , or practice of the United States , of any State or subdivision thereof . This proposal would eliminate the section 11 liabilities of under- writers in competitive bidding cases , and for this reason deserves careful analysis ...
Página 702
... tion of this statement : These securities have not been approved or disapproved by the Securities and Exchange Commission . The investor , therefore , is in this peculiar position . The underwriter offers him a security , but it is ...
... tion of this statement : These securities have not been approved or disapproved by the Securities and Exchange Commission . The investor , therefore , is in this peculiar position . The underwriter offers him a security , but it is ...
Página 708
... tion 17 would be effected by Securities Act proposal 45 , Industry Report , p . 165 . 19 The S. E. C. favors requiring information to be sent security holders before meetings , and of the second part of this proposal it says : " The ...
... tion 17 would be effected by Securities Act proposal 45 , Industry Report , p . 165 . 19 The S. E. C. favors requiring information to be sent security holders before meetings , and of the second part of this proposal it says : " The ...
Página 711
... tion to the " general prospectus , " a " limited prospectus " intended as a document of one or two pages , palatable and understandable to all investors , which would herald the new issue and describe it . " This " limited prospectus ...
... tion to the " general prospectus , " a " limited prospectus " intended as a document of one or two pages , palatable and understandable to all investors , which would herald the new issue and describe it . " This " limited prospectus ...
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...