Decisions and Reports, Volumen35U.S. Government Printing Office, 1957 |
Dentro del libro
Resultados 1-5 de 95
Página 34
... revoke the regis- tration of the broker or dealer if we find this to be in the public in- terest . Preliminary investigation in this matter indicated the likeli- hood of such willful violations by Charles E. Bailey , registrant's ...
... revoke the regis- tration of the broker or dealer if we find this to be in the public in- terest . Preliminary investigation in this matter indicated the likeli- hood of such willful violations by Charles E. Bailey , registrant's ...
Página 35
... revoked and that each of the individual respondents be held a cause of such revocation . Respondents filed exceptions to the hearing officer's recommended decision and the Division filed a brief in support thereof . We heard oral ...
... revoked and that each of the individual respondents be held a cause of such revocation . Respondents filed exceptions to the hearing officer's recommended decision and the Division filed a brief in support thereof . We heard oral ...
Página 44
... revoke registrant's registration if we find this to be in the public interest . It is clear that the selling literature used and the oral statements made were false and misleading in material matters going to the very heart of the ...
... revoke registrant's registration if we find this to be in the public interest . It is clear that the selling literature used and the oral statements made were false and misleading in material matters going to the very heart of the ...
Página 57
... revoke registrant's registration.1 The order instituting this proceeding alleges that reports of regis- trant's financial condition as of April 30 , 1950 , October 31 , 1951 , and March 31 , 1952 , filed with us pursuant to Section 17 ...
... revoke registrant's registration.1 The order instituting this proceeding alleges that reports of regis- trant's financial condition as of April 30 , 1950 , October 31 , 1951 , and March 31 , 1952 , filed with us pursuant to Section 17 ...
Página 60
... revoked and broker - dealer expelled from membership in national securities association . FINDINGS AND OPINION OF THE ... revoke the registration of any broker or dealer if it finds that such .. revocation is in the public interest and ...
... revoked and broker - dealer expelled from membership in national securities association . FINDINGS AND OPINION OF THE ... revoke the registration of any broker or dealer if it finds that such .. revocation is in the public interest and ...
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.