Annual Report of the SEC.U.S. Government Printing Office |
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Página 6
... matters . All matters pertaining to personnel , employ- ment , pay , and correspondence regarding same are handled in this office . The Regional Supervisor is charged with the administration or the field activities of the Commission ...
... matters . All matters pertaining to personnel , employ- ment , pay , and correspondence regarding same are handled in this office . The Regional Supervisor is charged with the administration or the field activities of the Commission ...
Página 17
... matters . Study was also devoted to the matter of hypothecation of cus- ners ' securities and safeguards to be erected in connection with sch hypothecation . The subject included " earmarking " of cus- tomers ' securities , escrowing of ...
... matters . Study was also devoted to the matter of hypothecation of cus- ners ' securities and safeguards to be erected in connection with sch hypothecation . The subject included " earmarking " of cus- tomers ' securities , escrowing of ...
Página 34
... matters under the Se- curities Act of 1933 and the Securities Exchange Act of 1934. These opinions were issued in the following cases : In the matter of- Docket no . Promulgated Haddam Distillers Corporation .... 2-880 Oct. 24 , 193 2 ...
... matters under the Se- curities Act of 1933 and the Securities Exchange Act of 1934. These opinions were issued in the following cases : In the matter of- Docket no . Promulgated Haddam Distillers Corporation .... 2-880 Oct. 24 , 193 2 ...
Página 47
... matters to be sidered and determined at the hearing . ( b ) Whenever a hearing is ordered by the Commission in any Įroceeding under sections 6 ( e ) , 11 ( c ) , 12 , 15 , 19 ( a ) ( 1 ) , 19 ( a ) ( 3 ) , or 19 ( b ) of the Securities ...
... matters to be sidered and determined at the hearing . ( b ) Whenever a hearing is ordered by the Commission in any Įroceeding under sections 6 ( e ) , 11 ( c ) , 12 , 15 , 19 ( a ) ( 1 ) , 19 ( a ) ( 3 ) , or 19 ( b ) of the Securities ...
Página 51
... matters in issue . Reply briefs shall be confined to matters in original briefs of oppos- g parties . Any scandalous or impertinent matter contained in any brief may be stricken on order of the Commission . ( e ) All briefs containing ...
... matters in issue . Reply briefs shall be confined to matters in original briefs of oppos- g parties . Any scandalous or impertinent matter contained in any brief may be stricken on order of the Commission . ( e ) All briefs containing ...
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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.