Decisions and Reports, Volumen35U.S. Government Printing Office, 1957 |
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Página 1924
... June 17 , 1953 and designated chairman on that date . RICHARD B. MCENTIRE , Commissioner . Took oath of office June 4 , 1946 . PAUL R. ROWEN , Commissioner . Took oath of office May 28 , 1948 . CLARENCE H. ADAMS , Commissioner . Took ...
... June 17 , 1953 and designated chairman on that date . RICHARD B. MCENTIRE , Commissioner . Took oath of office June 4 , 1946 . PAUL R. ROWEN , Commissioner . Took oath of office May 28 , 1948 . CLARENCE H. ADAMS , Commissioner . Took ...
Página 62
... June 30 to October 10 , 1952 , registrant willfully violated Sec- tion 15 ( c ) ( 3 ) of the Act in that it permitted its aggregate indebted- ness to exceed 2,000 per centum of its net capital in contravention of Rule X - 15C3-1 ...
... June 30 to October 10 , 1952 , registrant willfully violated Sec- tion 15 ( c ) ( 3 ) of the Act in that it permitted its aggregate indebted- ness to exceed 2,000 per centum of its net capital in contravention of Rule X - 15C3-1 ...
Página 67
... June 5 , 1952 our Findings and Opinion to the effect that the consummation of the proposed sales would be an appropriate step in compliance with our 35 S. E. C. - 35- -11840 388606-57- -6 Section 11 ( b ) ( 2 ) order of 67.
... June 5 , 1952 our Findings and Opinion to the effect that the consummation of the proposed sales would be an appropriate step in compliance with our 35 S. E. C. - 35- -11840 388606-57- -6 Section 11 ( b ) ( 2 ) order of 67.
Página 69
... June 5 , 1952 we referred to the rival bids of the City and of New York Electric for the Saranac Division properties . We noted that the bid of New York Electric was $ 100,000 more than that of the City , and that New York Electric had ...
... June 5 , 1952 we referred to the rival bids of the City and of New York Electric for the Saranac Division properties . We noted that the bid of New York Electric was $ 100,000 more than that of the City , and that New York Electric had ...
Página 96
... June 29 Fidelity Fund .. 15 , 557.40 25,000.00 388.93 6 931.40 4 309.11 June 30 Fidelity Fund ... 5,356.70 25 , 000 , 00 133.92 320.68 4 106.42 June 30 Mass . Investors Trust .. 20 , 120.00 25,000.00 352.10 5 1,005 . 52 3.7 261.08 July ...
... June 29 Fidelity Fund .. 15 , 557.40 25,000.00 388.93 6 931.40 4 309.11 June 30 Fidelity Fund ... 5,356.70 25 , 000 , 00 133.92 320.68 4 106.42 June 30 Mass . Investors Trust .. 20 , 120.00 25,000.00 352.10 5 1,005 . 52 3.7 261.08 July ...
Otras ediciones - Ver todas
Decisions and Reports, Volumen3 United States. Securities and Exchange Commission Vista completa - 1940 |
Decisions and Reports, Volumen9 United States. Securities and Exchange Commission Vista completa - 1943 |
Decisions and Reports, Volumen4 United States. Securities and Exchange Commission Vista completa - 1940 |
Términos y frases comunes
Act and Rule Amarillo amended application appropriate notice approved assets bank basis Biddle & Reath broker and dealer broker or dealer broker-dealer capital stock cash Commission Chairman Demmler Commissioners Rowen common stock consolidated Corporation counsel Court customers Debentures December 31 Demmler and Commissioners dividends Drexel & Co Duquesne earnings effective fees and expenses filed FINDINGS AND OPINION Gatineau holders Holding Company Act income investment company issuance issue Louisiana Malden Missouri Edison NASD natural gas NEES net income offer operating outstanding pany par value payment preferred stock principal amount prior proceedings Promulgated properties proposed protection of investors public interest Public Utility Holding purchase pursuant to Section record registered holding company registrant's reorganization requested respect revocation Section 11 Section 15 Securities Act Securities Exchange Act Standard Gas Standard Power Subordinated Debentures subsidiary surplus tion transactions Trustee underwriters Utility Holding Company willfully violated
Pasajes populares
Página 612 - ... (1) to employ any device, scheme, or artifice to defraud, or (2) to obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading, or (3) to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser.
Página 286 - ... or any rule or regulation thereunder or any undertaking contained in a registration statement as provided in subsection (d) of Section 15 of this title, which statement was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact...
Página 485 - SEC. 5. (a) Unless a registration statement is in effect as to a security, it shall be unlawful for any person, directly or indirectly— (1) to make use of any means or instruments of transportation or communication in interstate commerce or of the mails to sell or offer to buy such security through the use or medium of any prospectus or otherwise...
Página 273 - ... or from engaging in or continuing any conduct or practice in connection with any such activity or in connection with the purchase...
Página 423 - Investors or consumers and not detrimental to the proper functioning of such system or systems. (2) To require by order, after notice and opportunity for hearing, that each registered holding company, and each subsidiary company thereof, shall take such steps as the Commission shall find necessary to ensure that the corporate structure or continued existence of any company in the holdingcompany system does not unduly or unnecessarily complicate the structure, or unfairly or inequitably distribute...
Página 407 - The Commission shall, after appropriate notice and opportunity for hearing, by order deny registration to or revoke the registration of any broker or dealer if it finds that such denial or revocation is in the public interest and that (1) such broker or dealer whether prior or subsequent to becoming such, or...
Página 158 - ... made untrue statements of material facts and omitted to state material facts necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading...
Página 437 - Unless the acquisition has been approved by the Commission under section 10, it shall be unlawful — (1) for any registered holding company or any subsidiary company thereof, by use of the mails or any means or instrumentality of interstate commerce, or otherwise, to acquire, directly or indirectly, any securities or utility assets or any other interest in any business...
Página 491 - ... or deemed necessary by the accountant under the circumstances of the particular case, which have been omitted, and the reasons for their omission.
Página 66 - ... 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.