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 3
... problems do exist , grave abuses do occur , and additional controls and improvements are much needed *** . The functions of this report and of any changes proposed are to strengthen the mechanisms facilitating the free flow of capital ...
... problems do exist , grave abuses do occur , and additional controls and improvements are much needed *** . The functions of this report and of any changes proposed are to strengthen the mechanisms facilitating the free flow of capital ...
Página 5
... problem of reporting and disclosure with respect to se- curities that are presently unlisted , over the counter . Then , in that connection , I would like to take up the question sep- arately of the banks , because that issue has been ...
... problem of reporting and disclosure with respect to se- curities that are presently unlisted , over the counter . Then , in that connection , I would like to take up the question sep- arately of the banks , because that issue has been ...
Página 9
... problems are in the area of the addi- tional companies whose shareholders exceed 500 but are not as many as 750 . Now , if we found , for example , that administratively we had not really fully digested the group of companies having 750 ...
... problems are in the area of the addi- tional companies whose shareholders exceed 500 but are not as many as 750 . Now , if we found , for example , that administratively we had not really fully digested the group of companies having 750 ...
Página 16
... problem , Senator Javits , and point out that the problem is a little more dif- ficult and a little more complex than you might originally think . The facts of the matter are if I can give you the figures here , I think it might be ...
... problem , Senator Javits , and point out that the problem is a little more dif- ficult and a little more complex than you might originally think . The facts of the matter are if I can give you the figures here , I think it might be ...
Página 17
... problem is not exclusively a problem of the Comptroller of the Currency . Indeed , I think I can say with safety that he does not speak for all of the other agencies who are going to appear at this meeting . We , moreover , have been ...
... problem is not exclusively a problem of the Comptroller of the Currency . Indeed , I think I can say with safety that he does not speak for all of the other agencies who are going to appear at this meeting . We , moreover , have been ...
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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...