Annual Report of the Securities and Exchange Commission, Volumen25U.S. Government Printing Office, 1959 |
Dentro del libro
Resultados 1-5 de 100
Página iii
... Rule 135 .. 16 Proposed rule changes relating to assessable stock- 17 Proposed Rule 144 ... 17 Adoption of Rule 151 ... 18 Amendment of Rule 434A ...... . 18 Adoption of Regulation E ... . 19 Adoption of Form N - 5 .... 19 Adoption of ...
... Rule 135 .. 16 Proposed rule changes relating to assessable stock- 17 Proposed Rule 144 ... 17 Adoption of Rule 151 ... 18 Amendment of Rule 434A ...... . 18 Adoption of Regulation E ... . 19 Adoption of Form N - 5 .... 19 Adoption of ...
Página xxix
... rule under the act which generally requires that securities of registered holding companies and their subsidiaries be sold by means of competitive bidding . Since the adoption of that rule , there has been active competition among in ...
... rule under the act which generally requires that securities of registered holding companies and their subsidiaries be sold by means of competitive bidding . Since the adoption of that rule , there has been active competition among in ...
Página 5
... rule - making power , to define and clarify the proper limits of certain of these exemptions . One of the significant developments in this area has been the recent amend- ment by the Commission of Rule 133 . Under Rule 133 , which ...
... rule - making power , to define and clarify the proper limits of certain of these exemptions . One of the significant developments in this area has been the recent amend- ment by the Commission of Rule 133 . Under Rule 133 , which ...
Página 15
... Rule 133 Shortly after the end of the fiscal year the Commission adopted certain amendments to rule 133.2 The modification of this rule has been under consideration for some time and has been mentioned in 1The rules and regulations of ...
... Rule 133 Shortly after the end of the fiscal year the Commission adopted certain amendments to rule 133.2 The modification of this rule has been under consideration for some time and has been mentioned in 1The rules and regulations of ...
Página 16
... rule . In connection with the amendment of rule 133 , a new Form S - 14 was adopted for the registration of certain securities issued in a rule 133 transaction . This form is discussed below at p . 20 . Amendment of Rule 135 This rule ...
... rule . In connection with the amendment of rule 133 , a new Form S - 14 was adopted for the registration of certain securities issued in a rule 133 transaction . This form is discussed below at p . 20 . Amendment of Rule 135 This rule ...
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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...