Proposed Amendments to the Securities Act of 1933 and to the Securities Exchange Act of 1934, Volumen4U.S. Government Printing Office, 1942 |
Términos y frases comunes
admitted to unlisted adopted amendment to section application assets believe Board of Governors BOREN broker or dealer broker-dealer brokers and dealers burden capital CHAIRMAN Commis Commissioner PURCELL Congress corporations customers delisting directors disclosure effect Ethyl Gasoline Corporation Exchange Commission exchange market exemption extension fact Federal Reserve Federal Reserve Board Federal Reserve System filed investment investors issuer issues listed companies listed securities loan manufacturer material contracts McGRANERY member firms ment national securities exchanges officers over-the-counter dealers over-the-counter market PADDOCK percent present problem proposed amendment provisions proxy rules proxy statement public interest purchase purpose regulations requirements section 14 Securities Act Securities and Exchange Securities Dealers Securities Exchange Act securities industry security holders segregation sell short selling solicit proxies specialist statute stockholders tion transactions unlisted trading privileges WADSWORTH York Curb Exchange York Stock Exchange YOUNGDAHL
Pasajes populares
Página 1122 - ... dates of and parties to, and the general effect concisely stated of every material contract made, not in the ordinary course of business, which contract is to be executed in whole or in part at or after the filing of the registration statement or which contract has been made not more than two years before such filing.
Página 1256 - Many forms of conduct permissible in a workaday world for those acting at arm's length, are forbidden to those bound by fiduciary ties. A trustee is held to something stricter than the morals of the market place. Not honesty alone, but the punctilio of an honor the most sensitive, is then the standard of behavior.
Página 1160 - Every person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of any equity security (other than an exempted security) which is registered on a national securities exchange, or who is a director or an officer of the issuer of such security...
Página 1160 - Commission) of the amount of all equity securities of such issuer of which he is the beneficial owner, and within ten days after the close of each calendar month thereafter, if there has been...
Página 1294 - Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.
Página 1042 - System, and (B) to permit the extension or maintenance of credit in cases where the extension or maintenance of credit is not for the purpose of purchasing or carrying securities or of evading or circumventing the provisions of paragraph (1) of this subsection.
Página 1047 - The main purpose is to give a Government credit agency an effective method of reducing the aggregate amount of the nation's credit resources which can be directed by speculation into the stock market and out of other more desirable uses of commerce and industry — to prevent a recurrence of the pre-crash situation where funds which would otherwise have been available at normal interest rates for uses of local commerce, industry, and agriculture, were drained by far higher rates into security loans...
Página 1128 - ... to the navigation of said waters, and to prevent the erection of obstructions and nuisances in the said waters. II.
Página 1093 - The maintenance of a fair and orderly market implies the maintenance of price continuity with reasonable depth, and the minimizing of the effects of temporary disparity between supply and demand.
Página 1217 - Goss, you may resume. (Thereupon, at 12 : 05 pm, the committee took a recess until 2 pm of the same day.) AFTERNOON SESSION (The committee reconvened, pursuant to the taking of recess, at 2 pm, Hon.