SEC Legislation, 1963: Hearings Before a Subcommittee of the Committee on Banking and Currency, United States Senate, Eighty-eighth Congress, First Session, on S. 1642, a Bill to Amend the Securities Act of 1933, as Amended, and the Securities Exchange Act of 1934, as Amended, to Extend Disclosure Requirements to the Issuers of Additional Publicly Traded Securities, to Provide for Improved Qualification and Discliplinary Procedures for Registered Brokers and Dealers, and for Other PurposesU.S. Government Printing Office, 1963 - 470 páginas |
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Página v
... listed in order of capital accounts on March 18 , 1963 : Table listing 45 banks . Faces 101 " Don't Tell the Stockholders " : Article from Bank Stock Quarterly , March 1962_ Letter ... 104 108 Enclosures : Listing Bank Stocks on the ...
... listed in order of capital accounts on March 18 , 1963 : Table listing 45 banks . Faces 101 " Don't Tell the Stockholders " : Article from Bank Stock Quarterly , March 1962_ Letter ... 104 108 Enclosures : Listing Bank Stocks on the ...
Página 8
... listed on an exchange . These protections of present law may be briefly described as follows : ( 1 ) Pursuant to sections 12 and 13 of the Exchange Act a com- pany which lists its securities on an exchange must file a registration ...
... listed on an exchange . These protections of present law may be briefly described as follows : ( 1 ) Pursuant to sections 12 and 13 of the Exchange Act a com- pany which lists its securities on an exchange must file a registration ...
Página 10
... listed . Although the quoted statement singles out the exchanges , it applies and was intended to apply to all securities , listed or unlisted . Because too little was known about the over - the - counter market in 1934 to enable ...
... listed . Although the quoted statement singles out the exchanges , it applies and was intended to apply to all securities , listed or unlisted . Because too little was known about the over - the - counter market in 1934 to enable ...
Página 27
... listed on an exchange ; the remaining 148 are subject to 15 ( d ) of the Exchange Act . The special study has estimated that approximately 400 insurance companies have 500 or more shareholders and $ 1 million or more in assets , and ...
... listed on an exchange ; the remaining 148 are subject to 15 ( d ) of the Exchange Act . The special study has estimated that approximately 400 insurance companies have 500 or more shareholders and $ 1 million or more in assets , and ...
Página 34
... listed on that exchange to solicit proxies each year . The American Stock Exchange has embarked on a program to achieve the same result . However , similar requirements as to listed or unlisted securities are not imposed by other ...
... listed on that exchange to solicit proxies each year . The American Stock Exchange has embarked on a program to achieve the same result . However , similar requirements as to listed or unlisted securities are not imposed by other ...
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Términos y frases comunes
$1 million accounting additional adequate amendment American Stock Exchange apply assets authority bank stocks believe bill broker or dealer broker-dealers brokers and dealers capital CARY Chairman commissioner committee Comptroller Congress corporations directors disciplinary disclosure requirements DOMINICK earnings ETHERINGTON Exchange Commission exemption Federal Federal Reserve System filed full disclosure Funston holders insider trading insurance companies intermediate sanctions investor protection issuers issues June 18 LEMKAU listed companies ment NASD national banks operations over-the-counter companies over-the-counter market over-the-counter securities panies percent practices present problems proxy rules proxy solicitation proxy statement public interest real estate securities registered regulation regulatory reporting requirements respect SCHAPIRO Securities Act Securities and Exchange securities association securities business Securities Exchange Act securities industry securities markets self-regulation Senator JAVITS Senator WILLIAMS shareholders shares solicit proxies special study standards stock option stockholders subcommittee substantial tion transactions U.S. Senate Underwriters unlisted York Stock Exchange
Pasajes populares
Página 401 - Commission shall be final, subject to review by the Supreme Court of the United States upon certiorari or certification as provided in sections 239 and 240 of the Judicial Code, as amended (USC, title 28, sees. 346 and 347).
Página 408 - If any provision of this Act, or the application of such provision to any . person or circumstance, shall be held invalid, the remainder of this Act, or the application of such provision to persons or circumstances other than those as to which it is held invalid, shall not be affected thereby. SEC. 16. This Act may be cited as the "National Labor Relations Act.
Página 445 - States within any circuit wherein such person resides or has his principal place of business, or in the United States Court of Appeals for the District of Columbia, by filing in such court, within sixty days after the entry of such order, a written petition praying that the order of the Commission be modified or set aside in whole or in part.
Página 406 - It shall be unlawful for any person in the sale of any securities by the use of any means or instruments of transportation or communication in interstate commerce or by the use of the mails, directly or indirectly — (1) to employ any device, scheme, or artifice to defraud, or (2) to obtain money or property by means of any untrue statement of a material fact от any omission to state a material fact...
Página 408 - Commission, on the ground that the testimony or evidence, documentary or otherwise required of him may tend to incriminate him or subject him to a penalty or forfeiture...
Página 393 - When used in this title, unless the context otherwise requires — (1) the term "security" means any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas, or other mineral rights, or, in...
Página 398 - ... (2) to carry or cause to be carried through the mails or in interstate commerce, by any means or instruments of transportation, any such security for the purpose of sale or for delivery after sale.
Página 407 - ... to give evidence touching the matter in question; and any failure to obey such order of the court may be punished by such court as a contempt thereof.
Página 423 - ... (1) any member appointed to fill a vacancy occurring prior to the expiration of the term for which his predecessor was appointed, shall be appointed for the remainder of such term; and (2) the terms of office of the members first taking office after the date of...
Página 418 - Act, the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, or the Trust Indenture Act of 1939...