Annual Report of the SEC.U.S. Government Printing Office |
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Página 2
... involved were refiled to June 30 , 1942. Stop orders mumbered 7 , all of which were still in force at the close of the year . No consent refusal orders were issued during the year . Securities Effectively Registered During the fiscal ...
... involved were refiled to June 30 , 1942. Stop orders mumbered 7 , all of which were still in force at the close of the year . No consent refusal orders were issued during the year . Securities Effectively Registered During the fiscal ...
Página 13
... involved firms whose financial condition was not unsatisfactory ) ; 161 instances of transactions at prices which tended to indicate that sales had been made to customers at prices not reasonably related to the current market ; and 28 ...
... involved firms whose financial condition was not unsatisfactory ) ; 161 instances of transactions at prices which tended to indicate that sales had been made to customers at prices not reasonably related to the current market ; and 28 ...
Página 14
... involved . One injunction was later vacated . The capital position of each of the three remaining firms was adjusted and no action against them was taken . The most difficult current problem arising out of regulation of over - the ...
... involved . One injunction was later vacated . The capital position of each of the three remaining firms was adjusted and no action against them was taken . The most difficult current problem arising out of regulation of over - the ...
Página 15
... involved not only the sales of securities at prices in- consistent with prevailing market prices but also gross abuse of a relationship of trust and confidence which the firms had established with their customers . Both cases are of ...
... involved not only the sales of securities at prices in- consistent with prevailing market prices but also gross abuse of a relationship of trust and confidence which the firms had established with their customers . Both cases are of ...
Página 18
... involved and a requirement that members should diligently supervise the activities of salesmen . The following tabulation relates to broker - dealer registration under Section 15 ( b ) of the Securities Exchange Act : July 1 , 1941 ...
... involved and a requirement that members should diligently supervise the activities of salesmen . The following tabulation relates to broker - dealer registration under Section 15 ( b ) of the Securities Exchange Act : July 1 , 1941 ...
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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...