Annual Report of the SEC.U.S. Government Printing Office |
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Página 9
... transactions . The exemptive provisions of the latter type have pre- sented questions of particular difficulty , the ... transactions ; such as private offerings and dealers ' and brokers ' transactions , from the requirement of prior ...
... transactions . The exemptive provisions of the latter type have pre- sented questions of particular difficulty , the ... transactions ; such as private offerings and dealers ' and brokers ' transactions , from the requirement of prior ...
Página 9
... transactions . The exemptive provisions of the latter type have pre- sented questions of particular difficulty , the ... transactions ; such as private offerings and dealers ' and brokers ' transactions , from the requirement of prior ...
... transactions . The exemptive provisions of the latter type have pre- sented questions of particular difficulty , the ... transactions ; such as private offerings and dealers ' and brokers ' transactions , from the requirement of prior ...
Página 14
... transactions by members ; registration of spe- cialists and odd - lot dealers ; limitation upon the dealings of special- ists and odd - lot dealers ; and short selling . To assist in the detection of violations of these trading rules ...
... transactions by members ; registration of spe- cialists and odd - lot dealers ; limitation upon the dealings of special- ists and odd - lot dealers ; and short selling . To assist in the detection of violations of these trading rules ...
Página 20
... transactions in securities of issuers which were in receivership , bankruptcy , or in the process of reorganization . A careful study was made of this matter for the purpose of drafting a rule requir- ing such transactions to be clearly ...
... transactions in securities of issuers which were in receivership , bankruptcy , or in the process of reorganization . A careful study was made of this matter for the purpose of drafting a rule requir- ing such transactions to be clearly ...
Página 41
... transactions .-- ( a ) No member , while on the floor , shall execute or cause to be executed on the ex- ange any transaction for the purchase or sale of any security assified for trading as a stock by the exchange with respect to thich ...
... transactions .-- ( a ) No member , while on the floor , shall execute or cause to be executed on the ex- ange any transaction for the purchase or sale of any security assified for trading as a stock by the exchange with respect to thich ...
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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.