Annual Report of the Securities and Exchange Commission, Volumen25U.S. Government Printing Office, 1959 |
Dentro del libro
Resultados 1-5 de 99
Página xxi
... false and misleading . While the Commission cannot and does not vouch for the accuracy and adequacy of registration dis- closures , its examination , coupled with the penalties against false fil- ings and the recovery rights of ...
... false and misleading . While the Commission cannot and does not vouch for the accuracy and adequacy of registration dis- closures , its examination , coupled with the penalties against false fil- ings and the recovery rights of ...
Página 45
... false and misleading statements imposed by section 12 ( 2 ) or from the criminal liabilities for fraud imposed by section 17 of the act . Exempt Offerings Under Regulation A The Commission's regulation A permits a company to obtain not ...
... false and misleading statements imposed by section 12 ( 2 ) or from the criminal liabilities for fraud imposed by section 17 of the act . Exempt Offerings Under Regulation A The Commission's regulation A permits a company to obtain not ...
Página 47
... false and misleading in its failure to disclose : ( 1 ) the exact amount paid for the issuer's properties and whether such properties were acquired by the issuer in arms - length transactions ; ( 2 ) the facts surrounding certain bro ...
... false and misleading in its failure to disclose : ( 1 ) the exact amount paid for the issuer's properties and whether such properties were acquired by the issuer in arms - length transactions ; ( 2 ) the facts surrounding certain bro ...
Página 76
... false or misleading appearance of trading activity in , or with respect to the market for , any such security ; a series of transactions in which the price of such security is raised or depressed , or in which actual or apparent active ...
... false or misleading appearance of trading activity in , or with respect to the market for , any such security ; a series of transactions in which the price of such security is raised or depressed , or in which actual or apparent active ...
Página 85
... false or misleading statements in the application or documents supplementing the application ; ( 3 ) injunction by a court of competent jurisdiction from engag- ing in any conduct or practice in connection with the pur- chase or sale of ...
... false or misleading statements in the application or documents supplementing the application ; ( 3 ) injunction by a court of competent jurisdiction from engag- ing in any conduct or practice in connection with the pur- chase or sale of ...
Contenido
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Términos y frases comunes
accounting action aggregate amended American Stock Exchange amicus curiae amount Annual Report antifraud application assets billion bonds broker broker-dealer registration capital rule Commis Commission's common stock Company Act Release Complaint filed Corp Corporation dealer December 31 defendants denied directors disclose dismiss District Court Electric enjoined Exchange Act Release exemption fiscal Holding Company Act indictment investment adviser Investment Company Act issuers issues July June 15 June 30 ment Mines Limited motion NASD national securities exchange officers pany pending percent petition preferred stock proceedings proposed provisions proxy Public Utility Holding purchase pursuant registered holding company registrant's registration statement Regulation reorganization revocation Section section 11(b Securities Act Release Securities Exchange Act Sept shares sold Southern District stockholders subsidiaries suspension tion title 18 Total transactions Trust underwriter United States District Utility Holding Company violations York Stock Exchange
Pasajes populares
Página 141 - Department of the Wharton School of Finance and Commerce of the University of Pennsylvania.
Página 51 - Commission, or any officer designated by it, is empowered to administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, contracts, agreements, or other records which the Commission finds relevant or material to the inquiry.
Página 24 - Commission pursuant to section 13 or 15 (d) of the Securities Exchange Act of 1934...
Página 113 - Commission or within such shorter period of time as the Commission may determine.
Página 223 - material", when used to qualify a requirement for the furnishing of information as to any subject, limits the information required to those matters as to which an average prudent investor ought reasonably to be informed before purchasing the security registered.
Página 162 - 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 28 - 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 8 - Commission under authority thereof, or any person who willfully, in a registration statement filed under this title, makes any untrue statement of a material fact or omits to state any material fact required to be stated therein or necessary to make the statements therein not misleading, shall upon conviction be fined not more than $5,000 or imprisoned not more than five years, or both.
Página xi - Commission is responsible for the administration and enforcement of the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.
Página 279 - Any security issued by a building and loan association, homestead association, savings and loan association, or similar institution, substantially all the business of which is confined to the making of loans to members (but the...