Annual Report of the Securities and Exchange Commission, Volumen25 |
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Página 30
... involved the sale of unregistered securities in violation of Section 5 of the Act ; that based on the facts there was not available for such securities the exemption provided by Section 3 ( a ) ( 5 ) of the Act for securities issued ...
... involved the sale of unregistered securities in violation of Section 5 of the Act ; that based on the facts there was not available for such securities the exemption provided by Section 3 ( a ) ( 5 ) of the Act for securities issued ...
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Términos y frases comunes
accounting Act Release action activities addition amended American amount appeal application approval assets Association bonds broker-dealer capital cause changes charged Closed Commission Commission's common stock Complaint filed connection consent Corp Corporation Court dealers defendants denied determine Development directors distribution District District Court effective Electric entered Exchange Act Release exemption facts failed false filed findings fiscal Form funds granted hearing Holding Company indictment injunction interest investors involved issuers issues July June 30 Limited listed matter ment million Mines offering officers operating pending percent period permanent persons petition Power principal proceedings proposed provisions purchase pursuant received records registration statement Regulation reports represented respect revoked rule Securities Act Securities Exchange Act shares sold Southern District Stock Exchange stockholders subsidiaries suspended tion trading transactions trust United utility violations York
Pasajes populares
Página 139 - Department of the Wharton School of Finance and Commerce of the University of Pennsylvania.
Página 45 - 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 20 - Commission pursuant to section 13 or 15 (d) of the Securities Exchange Act of 1934...
Página 155 - Commission or within such shorter period of time as the Commission may determine.
Página 219 - 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 24 - 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 2 - 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 xiv - 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...
Información bibliográfica
| Título | Annual Report of the Securities and Exchange Commission, Volumen25 |
| Autor | United States. Securities and Exchange Commission |
| Editor | U.S. Government Printing Office, 1959 |
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