Decisions and Reports, Volumen3U.S. Government Printing Office, 1940 |
Dentro del libro
Resultados 1-5 de 100
Página 142
... respondent's contentions reveals that they are either without merit or relate to immaterial or irrevelant facts . The sole question remaining is whether it is in the public interest to order revocation of the registration of Foreman and ...
... respondent's contentions reveals that they are either without merit or relate to immaterial or irrevelant facts . The sole question remaining is whether it is in the public interest to order revocation of the registration of Foreman and ...
Página 190
... Respondent , who controlled and had a financial interest in substantial blocks of Kinner stock , purchased 13,500 shares of that stock within the space of 1 hour and 20 minutes at prices steadily increasing from 45 ¢ to 55 ¢ a share ...
... Respondent , who controlled and had a financial interest in substantial blocks of Kinner stock , purchased 13,500 shares of that stock within the space of 1 hour and 20 minutes at prices steadily increasing from 45 ¢ to 55 ¢ a share ...
Página 191
... respondents acted in concert such use is chargeable to all . MANIPULATION OF SECURITIES . Use of Facilities of Exchanges . A determination that respondents violated Section 9 ( a ) does not require a finding that they used the mails or ...
... respondents acted in concert such use is chargeable to all . MANIPULATION OF SECURITIES . Use of Facilities of Exchanges . A determination that respondents violated Section 9 ( a ) does not require a finding that they used the mails or ...
Página 192
... respondents or any of them should be suspended or expelled from membership on certain national securities exchanges ... respondents to the proceeding . It also charged the violations in the language of the statute . The respondents ...
... respondents or any of them should be suspended or expelled from membership on certain national securities exchanges ... respondents to the proceeding . It also charged the violations in the language of the statute . The respondents ...
Página 193
... respondent Charles C. Wright was , and through him Wright & Sexton , a copartnership , and its other partners , Jere A ... respondents ' market operation ran afoul of the following provisions of the Securities Exchange Act of 1934 : Sec ...
... respondent Charles C. Wright was , and through him Wright & Sexton , a copartnership , and its other partners , Jere A ... respondents ' market operation ran afoul of the following provisions of the Securities Exchange Act of 1934 : Sec ...
Otras ediciones - Ver todas
Decisions and Reports, Volumen9 United States. Securities and Exchange Commission Vista completa - 1943 |
Decisions and Reports, Volumen4 United States. Securities and Exchange Commission Vista completa - 1940 |
Decisions and Reports, Volumen42 United States. Securities and Exchange Commission Vista completa - 1972 |
Términos y frases comunes
acquisition amended applicant exchange applicant's appropriate approval April assets Baton Rouge Birmingham bonds Boston Stock Exchange certificates Commission common stock COMPANY OR SUBSIDIARY Corporation counsel debentures December 31 declarant deficiencies distribution dividends earnings effective Electric Company exemption fact fund Gas & Electric Gas Company Gulf States Utilities hearing held holders Holding Company Act issue and sale issuer Item matter mortgage notes option stock outstanding pany par value payment percent preferred stock principal amount proceeding Promulgated proposed prospectus protection of investors provisions of Section public interest public utility company Public Utility Holding purchase pursuant to Section record registered holding company registrant's registration statement reorganization requirements respondents Rule Section 11 Securities Exchange Act shares sold Stock Exchange stockholders stop order subsidiary company surplus tion transactions trial examiner trust underwriter unlisted trading privileges Utility Holding Company voting voting trust White Weld York Curb Exchange York Stock Exchange
Pasajes populares
Página 188 - To effect, alone or with one or more other persons, a series of transactions in any security registered on a national securities exchange creating actual or apparent active trading in such security or raising or depressing the price of such security, for the purpose of inducing the purchase or sale of such security by others.
Página 108 - A word is not a crystal, transparent and unchanged; it is the skin of a living thought and may vary greatly in color and content according to the circumstances and the time in which it is used.
Página 615 - ... if it finds that the enforcement of this title with respect to such securities is not necessary in the public interest and for the protection of investors by reason of the small amount involved or the limited character of the public offering ; but no issue of securities shall be exempted under this subsection where the aggregate amount at which such issue is offered to the public exceeds $300,000.
Página 502 - ... an order or orders for the purchase of such security with the knowledge that an order or orders of substantially the same size, at substantially the same time, and at substantially the same price, for the sale of any such security, has been or will be entered by or for the same or different parties, or (C) to enter any order or orders for the sale of any such security with the knowledge that an order or orders of substantially the same size, at substantially the same time, and at substantially...
Página 223 - Commission may, in its discretion, make such investigations as it deems necessary to determine whether any person has violated or is about to violate...
Página 590 - ... or any rule or regulation thereunder or any undertaking contained in a registration statement as provided in subsection (d) of Section 15 of this title, which statement 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 222 - ... may require or permit any person to file with it a statement in writing, under oath, or otherwise as the Commission shall determine, as to all the facts and circumstances concerning'the matter to be investigated. The Commission is authorized, in its discretion, to publish information concerning any such violations...
Página 665 - ... unless and except insofar as it finds the exemption detrimental to the public interest or the interest of investors or consumers...
Página 549 - ... approve any acquisition as to which an application is made under this section unless it appears to the satisfaction of the Commission that such State laws as may apply in respect of such acquisition have been complied with, except where the Commission finds that compliance with such State laws would be detrimental to the carrying out of the provisions of section 11.
Página 665 - ... per centum or more of whose outstanding voting securities are directly or indirectly owned, controlled, or held with power to vote, by such...