Annual Report of the SEC.U.S. Government Printing Office |
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Página 38
... fiscal year , con- sisted of 696 persons . This total comprised 4 Commissioners and 692 employees , 450 of whom were ... FISCAL AFFAIRS FUNDS TRANSFERRED AND APPROPRIATED There was available to the Commission , during the fiscal year ...
... fiscal year , con- sisted of 696 persons . This total comprised 4 Commissioners and 692 employees , 450 of whom were ... FISCAL AFFAIRS FUNDS TRANSFERRED AND APPROPRIATED There was available to the Commission , during the fiscal year ...
Página 29
... Fiscal year Fiscal year 1935 1936 10 , 114 2,524 37,509 5,754 464 45 The Commission compiles and publishes a semimonthly summary of security transactions and holdings of officers , directors , and prin- cipal stockholders as reported on ...
... Fiscal year Fiscal year 1935 1936 10 , 114 2,524 37,509 5,754 464 45 The Commission compiles and publishes a semimonthly summary of security transactions and holdings of officers , directors , and prin- cipal stockholders as reported on ...
Página 62
... fiscal year 1936. This amount was derived from the following sources : Independent Offices Appropriation Act , fiscal year 1936 Salaries and expenses-- Printing and binding . Supplemental Appropriation Act , fiscal year 1936 Salaries ...
... fiscal year 1936. This amount was derived from the following sources : Independent Offices Appropriation Act , fiscal year 1936 Salaries and expenses-- Printing and binding . Supplemental Appropriation Act , fiscal year 1936 Salaries ...
Página 63
... fiscal year ended June 30 , 1936 , is as follows : Character of receipts Transferred to General Fund of Treasury during fiscal year In Special Deposit Account at end of fiscal year Subtotal In Special Deposit Ac- count at begin- ning of ...
... fiscal year ended June 30 , 1936 , is as follows : Character of receipts Transferred to General Fund of Treasury during fiscal year In Special Deposit Account at end of fiscal year Subtotal In Special Deposit Ac- count at begin- ning of ...
Página 9
... fiscal year , there were 2,314 registration statements on file . Of these , 1,757 were effective , 129 were under stop or refusal order , 294 had been withdrawn , and 134 were under exam- ination or held pending the receipt of ...
... fiscal year , there were 2,314 registration statements on file . Of these , 1,757 were effective , 129 were under stop or refusal order , 294 had been withdrawn , and 134 were under exam- ination or held pending the receipt of ...
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Términos y frases comunes
admitted to unlisted amended annual reports assets bonds brokers and dealers certificates of deposit Commission's Corporation Court of Appeals defendants directors District Court effective Electric Company ended June 30 equity security Exchange Commission fiscal year ended Form A-2 hearing Holding Company Act industries interest Interstate Commerce Act investigations investment companies investment trusts investors issuers July June 28 June 30 mail fraud ment national securities exchanges pending Permanent injunction permanent registration person Power Company proceedings provisions Public Utility Holding pursuant to Section registered holding company registration of securities registration statement reorganization Richard Whitney rules and regulations Section 12 Securities Act Securities and Exchange Securities Exchange Act securities registered Sept Service Company Southern district subsidiary thereof tion Total transactions trial examiner unlisted trading privileges Utility Holding Company voting trust Western district York Curb Exchange York Stock Exchange
Pasajes populares
Página 26 - Witnesses summoned before the Board, its member, agent, or agency, shall be paid the same fees and mileage that are paid witnesses in the courts of the United States, and witnesses whose depositions are taken and the persons taking the same shall severally be entitled to the same fees as are paid for like services in the courts of the United States.
Página 88 - In computing any period of time prescribed or allowed by these rules, by order of court, or by any applicable statute, the day of the act, event, or default after which the designated period of time begins to run is not to be included. The last day of the period so computed is to be included, unless it is a Sunday or a legal holiday, in which event the period runs until the end of the next day which is neither a Sunday nor a holiday.
Página 38 - The testimony of the witness shall be reduced to writing by the officer before whom the deposition is taken, or under his direction, after which the deposition shall be subscribed by the witness and certified in usual form by the officer. After the deposition has been so certified it shall, together with a copy thereof made by such officer or under his direction, be forwarded by...
Página 77 - The Commission may deny, temporarily or permanently, the privilege of appearing or practicing before it in any way to any person who is found by the Commission after...
Página 48 - 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 38 - Depositions may also be taken and submitted on written interrogatories in substantially the same manner as depositions taken by oral examination.
Página 63 - The Securities Act of 1933, the Securities Exchange Act of 1934, and the Public Utility Holding Company Act of 1935 were all based in part on the postal power.
Página 106 - Objections to questions or evidence shall be in short form, stating the grounds of objection relied upon, but no transcript filed by the officer shall include argument or debate. Objections to questions or evidence shall be noted by the officer upon the deposition, but he shall not have power to decide on the competency or materiality or relevance of evidence, and he shall record the evidence subject to objection.
Página vii - And if in its opinion the public interest so requires, summarily to suspend trading in any registered security on any national securities exchange for a period not exceeding ten days, or with the approval of the President, summarily to suspend all trading on any national securities exchange for a period not exceeding ninety days.