Annual Report of the SEC.U.S. Government Printing Office |
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Página 4
... Pending ) Orders Consenting to Amendment of Offering Sheet ( No Proceeding Pending ) Orders Consenting to Withdrawal of Offering Sheet ( No Proceeding Pending ) INVESTIGATIONS OF OIL AND GAS SECURITIES TRANSACTIONS 197 1 1 112 ནཱི ...
... Pending ) Orders Consenting to Amendment of Offering Sheet ( No Proceeding Pending ) Orders Consenting to Withdrawal of Offering Sheet ( No Proceeding Pending ) INVESTIGATIONS OF OIL AND GAS SECURITIES TRANSACTIONS 197 1 1 112 ནཱི ...
Página 5
... Pending ) Orders Consenting to Amendment of Offering Sheet ( No Proceeding Pending ) Orders Consenting to Withdrawal of Offering Sheet ( No Proceeding Pending ) INVESTIGATIONS OF OIL AND GAS SECURITIES TRANSACTIONS 197 1 1 112 55 61 597 ...
... Pending ) Orders Consenting to Amendment of Offering Sheet ( No Proceeding Pending ) Orders Consenting to Withdrawal of Offering Sheet ( No Proceeding Pending ) INVESTIGATIONS OF OIL AND GAS SECURITIES TRANSACTIONS 197 1 1 112 55 61 597 ...
Página 7
... pending and the time during which appeals from the order of final confirmation may be taken has elapsed and no such appeal is pending . Single periodic report forms adopted for use under Securities Exchange Act and Invest- ment Company ...
... pending and the time during which appeals from the order of final confirmation may be taken has elapsed and no such appeal is pending . Single periodic report forms adopted for use under Securities Exchange Act and Invest- ment Company ...
Página 16
... pending July 1 , 1941 ..... Revocation proceedings ordered during year ........................... . Denial ... pending , June 30 , 1942 . Denial pending , June 30 , 1942 ... 11 3 39 6 59 4 2 5 1 2 29 15 1 Registrations The Commission's ...
... pending July 1 , 1941 ..... Revocation proceedings ordered during year ........................... . Denial ... pending , June 30 , 1942 . Denial pending , June 30 , 1942 ... 11 3 39 6 59 4 2 5 1 2 29 15 1 Registrations The Commission's ...
Página 17
... pending 11 cases on June 30 , 1942. Of the cases disposed of 23 were handled informally and in the re- maining cases 23 formal complaints were filed which resulted in five expulsions , two suspensions , three fines and censures , six ...
... pending 11 cases on June 30 , 1942. Of the cases disposed of 23 were handled informally and in the re- maining cases 23 formal complaints were filed which resulted in five expulsions , two suspensions , three fines and censures , six ...
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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...