District of Columbia Securities Act: Hearings Before the Subcommittee on the Judiciary of the Committee on the District of Columbia, United States Senate, Eighty-eighth Congress, Second Session, on S. 1001 (H.R. 9419), Bills to Provide for the Regulation of the Business of Selling Securities in the District of Columbia, and for the Licensing of Persons Engaged Therein, and for Other Purposes, March 5, 19, and April 29, 1964
United States. Congress. Senate. Committee on the District of Columbia, United States. Congress. Senate. Committee on the District of Columbia. Subcommittee on the Judiciary
U.S. Government Printing Office, 1964 - 131 páginas
Considers legislation to regulate securities sales in D.C. and to subject variable annuities to both securities and insurance sales regulation.
Comentarios de la gente - Escribir un comentario
No encontramos ningún comentario en los lugares habituales.
action administration agent amended appear application Association authority believe bill bond broker-dealer brokers Cary certificate Chairman Commission Commissioners committee concerned CONGRESS considered dealers dealing definition Department determine District of Columbia dual effective engaged exempt existing fact Federal filed firms fixed fund give hearing House insurance company Investment Company investors involved issued issuer jurisdiction legislation LIBRARY license matter means mutual fund necessary offer period person position practices present problem proceeding proposed protection provisions Public Service Commission purchase question reason record referred regulation Representatives require respect rule rule or order Securities Act Securities and Exchange securities business selling Senator DOMINICK Senator HARTKE similar specifically statement subcommittee Superintendent Supreme Court suspension Thank tion transaction understand Uniform United variable annuity contracts violation Washington
Página 83 - ... security" or any certificate of interest or participation in, temporary or interim certificate for, receipt for, guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing.
Página 20 - ... by means of a prospectus or oral communication, which includes an untrue statement of a material fact or omits to state a material fact necessary in order to make the statements, in the light of the circumstances under which they were made, not misleading (the purchaser not knowing of such untruth or omission...
Página 3 - When used in this title, unless the context otherwise requires — (1) the term "security" means any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas, or other mineral rights, or, in...
Página 8 - Commission, on the ground that the testimony or evidence, documentary or otherwise, required of him may tend to incriminate him or subject him to a penalty or forfeiture...
Página 57 - Commission or any officer designated by it is empowered to administer oaths and affirmations, subpena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, or other records which the Commission deems relevant or material to the inquiry.
Página 70 - No policy of group insurance shall be issued or delivered in this state unless and until a copy of the form thereof has been filed with the commissioner of insurance and approved by him; nor shall such policy be so issued or delivered unless it contains in substance the following provisions.
Página 3 - Any security exchanged by the issuer with its existing security holders exclusively where no commission or other remuneration is paid or given directly or indirectly for soliciting such exchange...
Página 19 - The 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 57 - Commissioner or his successor in office to be his attorney to receive service of any lawful process in any non-criminal suit, action, or proceeding against him or his successor executor or administrator which arises under this Act or any rule or order hereunder after the consent has been filed, with the same force and validity as if served personally on the person filing the consent.