Regulating the Sale of Securities: Hearing...88-1...May 2, 19631964 - 165 páginas |
Dentro del libro
Resultados 1-5 de 54
Página 5
... tion of the period during which the license of such broker - dealer is effective . There shall be no filing fee . ( d ) Each broker - dealer licensed in the District shall have and maintain a minimum capital of $ 15,000 , except that ...
... tion of the period during which the license of such broker - dealer is effective . There shall be no filing fee . ( d ) Each broker - dealer licensed in the District shall have and maintain a minimum capital of $ 15,000 , except that ...
Página 8
... tion , restraining order , or writ of mandamus shall be granted and a receiver or conservator may be appointed for the defendant or the defendant's assets . The court may not require the Commission to post a bond . CRIMINAL PENALTIES ...
... tion , restraining order , or writ of mandamus shall be granted and a receiver or conservator may be appointed for the defendant or the defendant's assets . The court may not require the Commission to post a bond . CRIMINAL PENALTIES ...
Página 13
... tion or " blue sky " law . ( The two States that do not are Nevada and Delaware . ) The basic aim of the proposed legislation is to control the conduct of broker- dealers by the creation of a licensing and enforcement power . It is ...
... tion or " blue sky " law . ( The two States that do not are Nevada and Delaware . ) The basic aim of the proposed legislation is to control the conduct of broker- dealers by the creation of a licensing and enforcement power . It is ...
Página 14
... tion 9 ( misleading filings ) fine of not more than $ 5,000 or not more than 3 years imprisonment or both . Similar penalties for other violations specified . Section 14. Civil liabilities : Gives purchaser right to bring 14 REGULATING ...
... tion 9 ( misleading filings ) fine of not more than $ 5,000 or not more than 3 years imprisonment or both . Similar penalties for other violations specified . Section 14. Civil liabilities : Gives purchaser right to bring 14 REGULATING ...
Página 18
... tion on the Uniform Act that would eliminate part III and make use of the other parts with necessary adaptations for the unique cir- cumstances of the District of Columbia . By way of brief summary , H.R. 4200 provides a licensing ...
... tion on the Uniform Act that would eliminate part III and make use of the other parts with necessary adaptations for the unique cir- cumstances of the District of Columbia . By way of brief summary , H.R. 4200 provides a licensing ...
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.