Federal Securities Laws and Small Business Legislation: Hearings Before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, Ninety-sixth Congress, Second Session, on S. 1533 ... S. 1940 ... S. 2699 ... April 29, May 16, and June 2, 1980U.S. Government Printing Office, 1980 - 812 páginas |
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Términos y frases comunes
accredited investors Advisers Act affiliated person amended amount Arthur D Little assets broker-dealers business development company capital fund managers capital gains tax Commission Committee costs direct participation programs disclosure dollars economic employees employment enterprise ERISA exemption Federal filed folio companies growth Heizer Corporation income individual investor inflation Initial SBIC Financing institutional investors interest investment adviser Investment Company Act issue issuers legislation less leverage buyout MARKET CAPITALIZATION ment Mergers and Acquisitions million NASD National Venture Capital NYSE operations percentage PERKINS private offerings problem profit prohibited proposed Rule prudent man rule public offering purchase questionnaires Ray Garrett Recent Fiscal registered investment regulation regulatory requirements SBIC Portfolio Companies SBIC's Securities Act Senator SARBANES shareholders Small Business Investment small companies small firms sponsor's compensation survey Table tion transactions underwriting Venture Capital Association venture capital company venture capital firms venture capital fund venture capital industry
Pasajes populares
Página 358 - Commission shall grant such application and issue such order of exemption if evidence establishes that — (1) the terms of the proposed transaction, including the consideration to be paid or received, are reasonable and fair and do not involve overreaching on the part of any person concerned...
Página 348 - Affiliated person" of another person means (A) any person directly or indirectly owning, controlling, or holding with power to vote, 5 per centum or more of the outstanding voting securities of such...
Página 334 - ... necessary or appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policy and provisions of this title.
Página 333 - ... (2) Any issuer which the Commission, upon application by such issuer, finds and by order declares to be primarily engaged in a business or businesses other than that of investing, reinvesting, owning, holding, or trading in securities either directly or (A) through majority-owned subsidiaries or (B) through controlled companies conducting similar types of businesses.
Página 101 - Associations, and in particular a committee of the Section of Corporation, Banking and Business Law of the American Bar Association, of which Mr.
Página 351 - ... acting as principal to effect any transaction in which such registered company, or a company controlled by such registered company, is a joint or a joint and several participant with such person, principal underwriter, or affiliated person, in contravention of such rules and regulations as the Commission may prescribe for the purpose of limiting or preventing participation by such registered or controlled company on a basis different from or less advantageous than that of such other participant.
Página 332 - ... engage in the business of investing, reinvesting, owning, holding, or trading in securities, and owns or proposes to acquire investment securities having a value exceeding 40 per centum of the value of such issuer's total assets (exclusive of Government securities and cash items) on an unconsolidated basis. As used in this section, "investment securities" includes all securities except (A) Government securities, (B) securities issued by employees' securities companies, and (C) securities issued...
Página 341 - ... (3) to borrow money or other property from such registered company or from any company controlled by such registered company (unless the borrower is controlled by the lender) except as permitted in section 21 (b).
Página 341 - ... (2) knowingly to purchase from such registered company, or from any company controlled by such registered company, any security or other property (except securities of which the seller is the issuer) ; or...
Página 341 - ... (1) knowingly to sell any security or other property to such registered company or to any company controlled by such registered company...