Annual Report of the Securities and Exchange Commission, Volumen25U.S. Government Printing Office, 1959 |
Dentro del libro
Resultados 1-5 de 100
Página xxxii
... involved and that the transaction is consistent with the company's established pol- icies and with the intent and purposes of the law . A registered in- vestment company must , subject to Commission rules , maintain its assets under a ...
... involved and that the transaction is consistent with the company's established pol- icies and with the intent and purposes of the law . A registered in- vestment company must , subject to Commission rules , maintain its assets under a ...
Página 4
... involved in the purchase of securities from un- known high - pressure salesmen . Posters warning investors of boiler room operators have been widely distributed , spot radio and television announcements carrying similar warnings have ...
... involved in the purchase of securities from un- known high - pressure salesmen . Posters warning investors of boiler room operators have been widely distributed , spot radio and television announcements carrying similar warnings have ...
Página 6
... involved in the placement would remain within that limit . The Court also concluded that the private offering exemption was not available to a dealer who assertedly acquired securities for " investment " where the dealer spec- ulatively ...
... involved in the placement would remain within that limit . The Court also concluded that the private offering exemption was not available to a dealer who assertedly acquired securities for " investment " where the dealer spec- ulatively ...
Página 18
... involved where the offer or sale is made in connection with the purchase of debenture bonds from a small business concern pursuant to the requirements of the Small Business Investment Act , the amount of stock involved is the minimum ...
... involved where the offer or sale is made in connection with the purchase of debenture bonds from a small business concern pursuant to the requirements of the Small Business Investment Act , the amount of stock involved is the minimum ...
Página 22
... involved in processing individual applications for relief pursuant to section 10 ( f ) of the act , the Commission , in December 1958 , adopted rule 10f - 3 exempting certain limited acquisitions of securities by registered in- vestment ...
... involved in processing individual applications for relief pursuant to section 10 ( f ) of the act , the Commission , in December 1958 , adopted rule 10f - 3 exempting certain limited acquisitions of securities by registered in- vestment ...
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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...