Annual Report of the Securities and Exchange Commission, Volumen25U.S. Government Printing Office, 1959 |
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Página xvi
... purchase of stock on mar- gin . Speculators ignored the fact that the yield on stocks purchased on margin was far less than the interest on their debit balances with brokers . There was almost no limit to the amount of credit which a ...
... purchase of stock on mar- gin . Speculators ignored the fact that the yield on stocks purchased on margin was far less than the interest on their debit balances with brokers . There was almost no limit to the amount of credit which a ...
Página xvii
... purchase their securities suffered tragic losses of untold millions of dollars . It has been estimated that , from 1924 to 1930 , utility holding com- panies floated some $ 5 billion of securities , the great bulk of which went not to ...
... purchase their securities suffered tragic losses of untold millions of dollars . It has been estimated that , from 1924 to 1930 , utility holding com- panies floated some $ 5 billion of securities , the great bulk of which went not to ...
Página xviii
... purchase and sale of portfolio securities by and between the company , its management officials and other affiliated interests , for the personal profit of the insiders . The sale of investment com- pany shares through false and ...
... purchase and sale of portfolio securities by and between the company , its management officials and other affiliated interests , for the personal profit of the insiders . The sale of investment com- pany shares through false and ...
Página xix
... purchase of securities of the issuer ; remuneration of officers and directors , including bonus and profit- sharing arrangements ; contractual or other arrangements with man- agement officials or other affiliated interests ; pending or ...
... purchase of securities of the issuer ; remuneration of officers and directors , including bonus and profit- sharing arrangements ; contractual or other arrangements with man- agement officials or other affiliated interests ; pending or ...
Página xxi
... purchase of registered securi- ties have important recovery rights ( which they may pursue in Fed- eral or State courts ) if the disclosures contained in registration state- ments are false and misleading . While the Commission cannot ...
... purchase of registered securi- ties have important recovery rights ( which they may pursue in Fed- eral or State courts ) if the disclosures contained in registration state- ments are false and misleading . While the Commission cannot ...
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Términos y frases comunes
amended American Stock Exchange amicus curiae amount Annual Report application assets bonds capital Commis Commission's common stock Company Act Release Complaint filed Corp Corporation dealer debtor denied directors dismiss District Court Electric ended June 30 Exchange Act Release exemption fiscal fiscal year ended Holding Company Act indenture indictment investment adviser Investment Company Act investors issuer issues July June 15 June 30 ment million Mines Limited motion NASD national securities exchange offering officers pending percent petition preferred stock Preliminary injunction proceedings proposed provisions proxy Public Utility Holding purchase pursuant registered holding company registrant's registration statement Regulation reorganization revoked rule Section Section 11(b Securities Act Release Securities Exchange Act Sept shares sold Southern District stockholders subsidiaries suspended tion title 18 Total transactions trustee United States District Uranium Utility Holding Company violations York Stock Exchange
Pasajes populares
Página 139 - Department of the Wharton School of Finance and Commerce of the University of Pennsylvania.
Página 49 - 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 22 - Commission pursuant to section 13 or 15 (d) of the Securities Exchange Act of 1934...
Página 111 - Commission or within such shorter period of time as the Commission may determine.
Página 221 - 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 160 - 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 26 - 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 6 - 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 ix - 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...