Annual Report of the SEC.U.S. Government Printing Office |
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... practice of the Securities and Exchange Commission , effective September 13 , 1935 ... Appendix III . Guide to forms adopted by the Securities and Exchange Commission under the Securities Act of 1933 , as amended , and the Securities ...
... practice of the Securities and Exchange Commission , effective September 13 , 1935 ... Appendix III . Guide to forms adopted by the Securities and Exchange Commission under the Securities Act of 1933 , as amended , and the Securities ...
Página 14
... practices or trading by members and to determine whether further rules are necessary to make exchanges free , open , and orderly market places for securities . These reports are also useful in accumulating material in connec- tion with ...
... practices or trading by members and to determine whether further rules are necessary to make exchanges free , open , and orderly market places for securities . These reports are also useful in accumulating material in connec- tion with ...
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... practice in connection with the purchase or sale of securities or arising out of the conduct of the business of ... practices Regulation of miscellaneous exchange and other practices......
... practice in connection with the purchase or sale of securities or arising out of the conduct of the business of ... practices Regulation of miscellaneous exchange and other practices......
Página 27
... practices and to set up a balance sheet in a form permitting comparison with the balance sheet as originally filed . The adjusted balance sheet dicated that if proper accounting and financial practices had been followed , the company's ...
... practices and to set up a balance sheet in a form permitting comparison with the balance sheet as originally filed . The adjusted balance sheet dicated that if proper accounting and financial practices had been followed , the company's ...
Página 44
... security on another national securities exchange which is the principal market for such security . APPENDIX II RULES OF PRACTICE , SECURITIES AND EXCHANGE COMMISSION 44 ANNUAL REPORT OF THE SECURITIES AND EXCHANGE COMMISSION.
... security on another national securities exchange which is the principal market for such security . APPENDIX II RULES OF PRACTICE , SECURITIES AND EXCHANGE COMMISSION 44 ANNUAL REPORT OF THE SECURITIES AND EXCHANGE COMMISSION.
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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.