Regulating the Sale of Securities: Hearing...88-1...May 2, 19631964 - 165 páginas |
Dentro del libro
Resultados 1-5 de 37
Página 13
... firms in the District than against the combined total in Maryland , Virginia , West Vir- ginia , Delaware , and Pennsylvania . In 1960 , the National Dealers Association filed complaints against 25 percent of its District members - as ...
... firms in the District than against the combined total in Maryland , Virginia , West Vir- ginia , Delaware , and Pennsylvania . In 1960 , the National Dealers Association filed complaints against 25 percent of its District members - as ...
Página 14
... firm closed by the Commission . One - sixth had two such persons . One firm recently closed by the SEC gave birth to 16 new firms that were started by its alumni , of which 9 have failed or gone out of busines , volun- tarily or ...
... firm closed by the Commission . One - sixth had two such persons . One firm recently closed by the SEC gave birth to 16 new firms that were started by its alumni , of which 9 have failed or gone out of busines , volun- tarily or ...
Página 15
... firms in the District than against those located in Delaware , Maryland , Pennsylvania , Virginia , and West Virginia , combined . Twenty actions were brought in the Dis- trict as compared with just 13 in the 5 - State area . Also , 20 ...
... firms in the District than against those located in Delaware , Maryland , Pennsylvania , Virginia , and West Virginia , combined . Twenty actions were brought in the Dis- trict as compared with just 13 in the 5 - State area . Also , 20 ...
Página 26
... firm or individual who is the subject of summary action , if there is a time limit , would do what he can do to lengthen the proceeding so the summary authority would expire before the proceeding is over . And of course , to the degree ...
... firm or individual who is the subject of summary action , if there is a time limit , would do what he can do to lengthen the proceeding so the summary authority would expire before the proceeding is over . And of course , to the degree ...
Página 29
... has brought more such actions against District firms than against those of 1 The one State that has none is Delaware . 29-313-64– -3 Maryland , Virginia , West Virginia , Delaware , and REGULATING THE SALE OF SECURITIES 29.
... has brought more such actions against District firms than against those of 1 The one State that has none is Delaware . 29-313-64– -3 Maryland , Virginia , West Virginia , Delaware , and REGULATING THE SALE OF SECURITIES 29.
Términos y frases comunes
ABERNETHY ACHESON actuarial administration amended amount Annuity Life Insurance annuity payments application Association of Securities authority Better Business Bureau bill blue sky law broker broker-dealers and agents Bryan CALVERT Chairman committee definition of security District of Columbia dollars drafting effective employees equity Exchange Commission exempt Federal firms fixed-dollar annuities grantor guaranteed hearing insurance commissioner insurance companies insurance departments interest investors issued issuer KEITH language legislation liability license Maryland ment minimum capital mortality tables mutual funds NASD officers pany payable period person proceeding proposed protection Public Service Commission purchaser pursuant registration regulation regulatory reserves respect risk rule or order salesmen section 801 Securities and Exchange securities business Securities Dealers Securities Exchange segregated asset accounts SHAW specified SPRINGER statement statute surety bond term life insurance tion transactions U.S. attorney Uniform Act Uniform Securities Act United VALIC variable annuity contracts violation Washington
Pasajes populares
Página 5 - To make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading...
Página 8 - For the purpose of any such investigation^ or any other proceeding under this title, any member of the Commission or any officer designated by it is empowered to administer oaths and affirmations, subpena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, or other records which the Commission deems relevant or material to the inquiry. Such attendance of witnesses and the production of any such records may be required from...
Página 9 - 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 68 - ... did not know, and in the exercise of reasonable care could not have known, of such untruth or omission...
Página 4 - Any security exchanged by the issuer with its existing security holders exclusively where no commission or other remuneration is paid or given directly or indirectly for soliciting such exchange...
Página 8 - The Commission may, in its discretion, make such investigations as it deems necessary to determine whether any person has violated or is about to violate...
Página 6 - In accordance with such rules and regulations or order as the Commission may deem necessary or appropriate in the public interest or for the protection of investors...
Página 48 - Commissioner or his successor in office to be his attorney to receive service of any lawful process in any non-criminal suit, action, or proceeding against him or his successor executor or administrator which arises under this Act or any rule or order hereunder after the consent has been filed, with the same force and validity as if served personally on the person filing the consent.
Página 99 - [a] word is not a crystal, transparent and unchanged, it is the skin of a living thought and may vary greatly in color and content according to the circumstances and the time in which it is used.
Página 11 - ... is filed in the case on or before the return day of the process, if any, or within such further time as the court allows.