Decisions and Reports, Volumen4

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U.S. Government Printing Office, 1940

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Página 592 - underwriter" means any person who has purchased from an issuer with a view to, or offers or sells for an issuer in connection with, the distribution of any security, or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in the direct or indirect underwriting of any such undertaking...
Página 801 - ... the management or policies of any publicutility or holding company as to make it necessary or appropriate in the public interest or for the protection of investors or consumers...
Página 189 - The purchase and sale of utility properties and other assets may not be made in contravention of rules, regulations, or orders of the commission regarding the consideration to be received, maintenance of competitive conditions, fees and commissions, accounts, disclosure of interest, and similar matters.
Página 955 - ... to insure that such contracts are performed economically and efficiently for the benefit of such associate companies at cost, fairly and equitably allocated among such companies.
Página 529 - ... or from engaging in or continuing any conduct or practice in connection with any such activity or in connection with the purchase...
Página 192 - ... (1) such holding company, and every subsidiary company thereof which is a public-utility company from which such holding company derives, directly or indirectly, any material part of its income, are predominantly intrastate in character and carry on their business substantially in a single State in which such holding company and every such subsidiary company thereof are organized...
Página 38 - The Commission shall not permit a declaration regarding the issue or sale of a security...
Página 745 - A security registered with a national securities exchange may be withdrawn or stricken from listing and registration in accordance with the rules of the exchange and, upon such terms as the Commission may deem necessary to impose for the protection of investors...
Página 801 - ... bargaining in transactions between them as to make it necessary or appropriate in the public interest or for the protection of investors or consumers that such person be subject to the obligations, duties, and liabilities imposed in this title upon affiliates of a company.
Página 838 - Whenever the Commission, on its own motion or upon application, finds that a registered investment company has ceased to be an investment company, it shall so declare by order and upon the taking effect of such order the registration of such company shall cease to be in effect.

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