Annual Report of the SEC.U.S. Government Printing Office |
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Página 1
... Forms . In order further to simplify the registration process , the Commission adopted early in the year two new forms Form S - 2 and Form S - 3 . Form S - 2 is designed primarily for securities of small companies . Form S - 3 is ...
... Forms . In order further to simplify the registration process , the Commission adopted early in the year two new forms Form S - 2 and Form S - 3 . Form S - 2 is designed primarily for securities of small companies . Form S - 3 is ...
Página 6
... Forms For Registration of Securities on Exchanges Disclosure Contravening Code of Wartime Practices . The Commission adopted Rule X - 6 providing for the omission or confidential treatment of any information , filed with the Commission ...
... Forms For Registration of Securities on Exchanges Disclosure Contravening Code of Wartime Practices . The Commission adopted Rule X - 6 providing for the omission or confidential treatment of any information , filed with the Commission ...
Página 7
... forms adopted for use under Securities Exchange Act and Invest- ment Company Act . As a further step in its program ... form to be used by management investment companies under both the Securities Exchange Act of 1934 and the Investment ...
... forms adopted for use under Securities Exchange Act and Invest- ment Company Act . As a further step in its program ... form to be used by management investment companies under both the Securities Exchange Act of 1934 and the Investment ...
Página 10
... forms on which the information necessary to comply with the requirements of Rule X - 17A - 3 ( a ) could be conveniently ... form for public release . Saving study The Commission on April 15 , 1942 , inaugurated a series of quarterly ...
... forms on which the information necessary to comply with the requirements of Rule X - 17A - 3 ( a ) could be conveniently ... form for public release . Saving study The Commission on April 15 , 1942 , inaugurated a series of quarterly ...
Página 12
... Form X - 17A - 1 , with instructions therefor . This new form was designed to be " self- proving " and to replace the three forms required to be filed by those persons subject to the provisions of Rule X - 17A - 2 or Regulation X - 9A6 ...
... Form X - 17A - 1 , with instructions therefor . This new form was designed to be " self- proving " and to replace the three forms required to be filed by those persons subject to the provisions of Rule X - 17A - 2 or Regulation X - 9A6 ...
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Términos y frases comunes
admitted to unlisted amended amicus curiae Annual Report applications Circuit Court Cities Service Company common stock Company Act Release conspiracy to violate Court of Appeals defendants dismissed District Court Divested Electric Company ended June 30 fiscal year ended Gas and Electric Gas Company Holding Company Act Indenture indictment Investment Company Act July June 19 June 25 Light Company longer subject NASD national securities exchanges nolo contendere Number past fiscal pending Petition to review pleaded guilty Power & Light Power Company preferred stock proceedings Property sold Public Service Company Public Utility Holding registration statements reorganization Rule Sale Section 11 Securities Act Securities Exchange Act sentenced Sept sold no longer Southern District Stock Exchange stockholders subsidiary Table Title 18 U. S. C. Sec unlisted trading privileges Utilities Company Utility Holding Company violate these statutes West Corporation Western District York Curb Exchange York Stock Exchange
Pasajes populares
Página 57 - Coordination. (a) Any security for which a registration statement has been filed under the Securities Act of 1933 in connection with the same offering may be registered by coordination.
Página 27 - ... necessary or appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policy and provisions of this title.
Página 13 - ... or any other person whose participation in the proceeding may be in the public interest.
Página 43 - Commission is responsible for the administration and enforcement of the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.
Página 16 - ... (2) To require by order, after notice and opportunity for hearing, that each registered holding company, and each subsidiary company thereof shall take such steps as the Commission shall find necessary to ensure that the corporate structure or continued existence of any company in the holding-company system does not unduly or unnecessarily complicate the structure, or unfairly or inequitably distribute voting power among security holders, of such holding-company system.
Página 40 - ... there shall be filed with the Regional Office of the Commission for the region in which the issuer...
Página 59 - Commission pursuant to its rules and regulations under the Securities Act of 1933 or the Securities Exchange Act of 1934...
Página 12 - The Commission by rules and regulations or order, subject to such terms and conditions as it deems appropriate in the public interest or for the protection of investors or consumers...
Página 24 - Act of 1939 requires that bonds, notes, debentures and similar securities publicly offered for sale, except as exempted by the act, be issued under an indenture which meets the requirements of the act, and has been duly qualified with the Commission. The...
Página 24 - THE TRUST INDENTURE ACT OF 1939 The Trust Indenture Act of 1939 requires that bonds, notes, debentures and similar securities publicly offered for sale, except as...