Small Business Investment Incentive Act: Hearings Before the Subcommittee on Consumer Protection and Finance of the Committee on Interstate and Foreign Commerce, House of Representatives, Ninety-sixth Congress, First Session, on H.R. 3991 ... November 7 and 8, 1979U.S. Government Printing Office, 1980 - 487 páginas Barney the dog faces dognappers, a whip, and a coal-black panther that invades Farmer John's place. |
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Página 13
... permit 2 / Section 5 of the Securities Act requires that all securities offered by the use of any means or instruments of transportation or communication in interstate commerce or the mails be registered with the Commission . 3/17 CFR ...
... permit 2 / Section 5 of the Securities Act requires that all securities offered by the use of any means or instruments of transportation or communication in interstate commerce or the mails be registered with the Commission . 3/17 CFR ...
Página 14
... permit sales under the rule directly to marketmakers ; and ( 3 ) eliminate the requirement that sales under the rule be made only in brokerage transactions or directly with a marketmaker for sales of securities by estates , and their ...
... permit sales under the rule directly to marketmakers ; and ( 3 ) eliminate the requirement that sales under the rule be made only in brokerage transactions or directly with a marketmaker for sales of securities by estates , and their ...
Página 17
... permit an issuer to qualify for an exemp tion under Section 4 ( 2 ) . The Office of Small Business Policy currently has under consider- ation a new rule which would treat sales to certain institutional buyers in a manner similar to the ...
... permit an issuer to qualify for an exemp tion under Section 4 ( 2 ) . The Office of Small Business Policy currently has under consider- ation a new rule which would treat sales to certain institutional buyers in a manner similar to the ...
Página 21
... permits non - affiliates under certain circumstances to disregard the volume limitation provisions of Rule 144 after a period of ( 1 ) three years , if the securities to be sold are those of a class which is either listed on an exchange ...
... permits non - affiliates under certain circumstances to disregard the volume limitation provisions of Rule 144 after a period of ( 1 ) three years , if the securities to be sold are those of a class which is either listed on an exchange ...
Página 25
... permit , under appropriate conditions , special performance - based fees to be paid to registered invest- ment ... permitting the Commission to continue its present efforts to 25.
... permit , under appropriate conditions , special performance - based fees to be paid to registered invest- ment ... permitting the Commission to continue its present efforts to 25.
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Términos y frases comunes
accredited investor Advisers Act affiliated person Amdahl application assets bill BROYHILL business development company Business Investment Companies Capital Corp capital formation Chairman Citibank Commission's Committee common stock company's CONGRESS THE LIBRARY counsel currently definition disclosure disinterested directors engaged equity Exchange Commission Federal Express federal securities laws Fujitsu furnishing capital Garrett hearings Heizer Corporation initial Investment Advisers Investment Company Act investor protection issuer legislation LIBRARY OF CONGRESS limited liquidity LOOMIS Lybecker Mendelsohn ment Company mutual funds officers Omex operate OPPER panies portfolio companies private offering problem prohibited public offering purchasing securities pursuant Ralston Purina Ray Garrett registered investment company regulation resale restricted securities rulemaking SBIC financing SBIC's Section 17 Section 4(2 Securities Act Securities and Exchange sell shareholders shares Small Business Investment staff Subcommittee substantial tion transaction underwriter venture capital companies venture capital firms venture capital industry voting securities WALLISON
Pasajes populares
Página 344 - ... necessary or appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policy and provisions of this title.
Página 93 - Commission may, in its discretion, make such investigations as it deems necessary to determine whether any person has violated or is about to violate...
Página 91 - ... (1) any person who within ten years has been convicted of any felony or misdemeanor involving the purchase or sale of any security or arising out "of such person's conduct as an underwriter, broker, dealer...
Página 343 - ... (2) Any issuer which the Commission, upon application by such issuer, finds and by order declares to be primarily engaged in a business or businesses other than that of investing, reinvesting, owning, holding, or trading in securities either directly or (A) through majority-owned subsidiaries or (B) through controlled companies conducting similar types of businesses.
Página 372 - Commission shall grant such application and issue such order of exemption if evidence establishes that — (1) the terms of the proposed transaction, including the consideration to be paid or received, are reasonable and fair and do not involve overreaching on the part of any person concerned...
Página 365 - ... acting as principal to effect any transaction in which such registered company, or a company controlled by such registered company, is a joint or a joint and several participant with such person, principal underwriter, or affiliated person, in contravention of such rules and regulations as the Commission may prescribe for the purpose of limiting or preventing participation by such registered or controlled company on a basis different from or less advantageous than that of such other participant.
Página 355 - ... (3) to borrow money or other property from such registered company or from any company controlled by such registered company (unless the borrower is controlled by the lender) except as permitted in section 21 (b).
Página 342 - ... engage in the business of investing, reinvesting, owning, holding, or trading in securities, and owns or proposes to acquire investment securities having a value exceeding 40 per centum of the value of such issuer's total assets (exclusive of Government securities and cash items) on an unconsolidated basis. As used in this section, "investment securities" includes all securities except (A) Government securities, (B) securities issued by employees' securities companies, and (C) securities issued...
Página 354 - ... (1) knowingly to sell any security or other property to such registered company or to any company controlled by such registered company...
Página 342 - investment company" means any issuer which — (1) is or holds itself out as being engaged primarily, or proposes to engage primarily, in the business of investing, reinvesting, or trading in securities; (2) is engaged or proposes to engage in the business of issuing face-amount certificates of the installment type, or has been engaged in such business and has any such...