Annual Report of the Securities and Exchange Commission, Volumen25U.S. Government Printing Office, 1959 |
Dentro del libro
Resultados 1-5 de 100
Página 85
... revoked .. Registrations suspended --- Registrations effective at end of year_ Applications pending at end of year .. Less : Suspended registrations revoked during year . Total .. * 23 registrations were in suspension at close of the ...
... revoked .. Registrations suspended --- Registrations effective at end of year_ Applications pending at end of year .. Less : Suspended registrations revoked during year . Total .. * 23 registrations were in suspension at close of the ...
Página 86
... revoke registration and to suspend and expel from membership in an exchange or a national securities association : Proceedings pending at start of fiscal year to : Revoke registration _ - _ 20 or 22 Revoke registration and suspend or ...
... revoke registration and to suspend and expel from membership in an exchange or a national securities association : Proceedings pending at start of fiscal year to : Revoke registration _ - _ 20 or 22 Revoke registration and suspend or ...
Página 87
... revoked ... Total_ Proceedings to revoke registration and suspend or expel from NASD or exchanges : Registration revoked___ Registration revoked and firm expelled from NASD___ . Dismissed on withdrawal of registration _---- Dismissed ...
... revoked ... Total_ Proceedings to revoke registration and suspend or expel from NASD or exchanges : Registration revoked___ Registration revoked and firm expelled from NASD___ . Dismissed on withdrawal of registration _---- Dismissed ...
Página 88
... revoked Rothbard's registration . This is discussed in more detail later in this report . Jean R. Veditz Co. , Inc. - Registrant consented to suspension of its broker - dealer registration . The Commission found suspension to be ...
... revoked Rothbard's registration . This is discussed in more detail later in this report . Jean R. Veditz Co. , Inc. - Registrant consented to suspension of its broker - dealer registration . The Commission found suspension to be ...
Página 91
... revoked . The Commission held , " The conduct of a securities business involves im- plied representations of solvency and a readiness and ability to meet all attendant obligations as they arise and to consumate transactions in the usual ...
... revoked . The Commission held , " The conduct of a securities business involves im- plied representations of solvency and a readiness and ability to meet all attendant obligations as they arise and to consumate transactions in the usual ...
Contenido
vi | |
55 | |
249 | |
270 | |
273 | |
vi | |
xi | |
xii | |
142 | |
156 | |
167 | |
215 | |
220 | |
228 | |
235 | |
241 | |
247 | |
250 | |
256 | |
267 | |
276 | |
283 | |
56 | |
62 | |
88 | |
127 | |
168 | |
183 | |
225 | |
v | |
x | |
1 | |
7 | |
40 | |
81 | |
107 | |
117 | |
171 | |
172 | |
177 | |
189 | |
229 | |
vii | |
22 | |
37 | |
105 | |
111 | |
123 | |
151 | |
157 | |
158 | |
164 | |
166 | |
212 | |
218 | |
Otras ediciones - Ver todas
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...