Annual Report of the SEC.U.S. Government Printing Office |
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... statutes : Litigation 37 Complaints and investigations Interpretative and advisory service The field of accounting and auditing Proxies , consents and authorizations 42 44 44 46 Reports of officers , directors , principal security ...
... statutes : Litigation 37 Complaints and investigations Interpretative and advisory service The field of accounting and auditing Proxies , consents and authorizations 42 44 44 46 Reports of officers , directors , principal security ...
Página 1
... Statutes . The Commission adopted Rule 524 to provide a simplified procedure for registration under the Securities Act of 1933 of securities of open - end management invest- ment companies . The rule provides in effect that any such ...
... Statutes . The Commission adopted Rule 524 to provide a simplified procedure for registration under the Securities Act of 1933 of securities of open - end management invest- ment companies . The rule provides in effect that any such ...
Página 13
... statutes aand rules and regulations thereunder . Prominent points covered are best illustrated by a brief summary of the findings of these inspections . In 368 inspections there were found irregularities which may be classified as ...
... statutes aand rules and regulations thereunder . Prominent points covered are best illustrated by a brief summary of the findings of these inspections . In 368 inspections there were found irregularities which may be classified as ...
Página 18
... statutes or rules d the Cowdssion . of paramount importance was an amendment which would require , as a condition to membership , minimum net capital , exclusive of fixed assets of $ 5000 for " clearing fires " or $ 2500 for non ...
... statutes or rules d the Cowdssion . of paramount importance was an amendment which would require , as a condition to membership , minimum net capital , exclusive of fixed assets of $ 5000 for " clearing fires " or $ 2500 for non ...
Página 19
... statute , namely , the choice between the various alternative methods available under the Act for bring- ing about compliance with the requirements of Section 11 ( b ) , and the determination of what treatment of the various claims of ...
... statute , namely , the choice between the various alternative methods available under the Act for bring- ing about compliance with the requirements of Section 11 ( b ) , and the determination of what treatment of the various claims of ...
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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...