Proposed Amendments to the Securities Act of 1933 and to the Securities Exchange Act of 1934, Volumen5U.S. Government Printing Office, 1942 |
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Página 1324
... referred in this statement to the letter from the regional exchanges to the chairman , dated September 25 , 1941. I request that a copy of this letter be considered as an appendix to my statement ; with your leave , I will now file such ...
... referred in this statement to the letter from the regional exchanges to the chairman , dated September 25 , 1941. I request that a copy of this letter be considered as an appendix to my statement ; with your leave , I will now file such ...
Página 1325
... referred to may be inserted in the record . ( The matters referred to are as follows :) APPENDIX I CHICAGO , ILL . , September 26 , 1941 . COMMITTEE ON INTERSTATE AND FOREIGN COMMERCE , House of Representatives , Washington , D. C. ...
... referred to may be inserted in the record . ( The matters referred to are as follows :) APPENDIX I CHICAGO , ILL . , September 26 , 1941 . COMMITTEE ON INTERSTATE AND FOREIGN COMMERCE , House of Representatives , Washington , D. C. ...
Página 1343
... referred to as the multiple- trading rule . This represents the ultimate in regulation . The New York Stock Exchange is no longer a private club . No stock exchange is . Because the exchanges are not private clubs they cannot work out ...
... referred to as the multiple- trading rule . This represents the ultimate in regulation . The New York Stock Exchange is no longer a private club . No stock exchange is . Because the exchanges are not private clubs they cannot work out ...
Página 1350
... referred . As I stated in my discussion of this matter , the action which the Com- mission took under section 19 ( b ) of the act to prevent the enforce- ment of this ruling by the New York Stock Exchange prevented a number of the ...
... referred . As I stated in my discussion of this matter , the action which the Com- mission took under section 19 ( b ) of the act to prevent the enforce- ment of this ruling by the New York Stock Exchange prevented a number of the ...
Página 1374
... referred to what had been revealed in the investigation of the political " slush " fund of the Union Electric Company of Missouri . I wish to point out , however , that the item also relates to a somewhat broader problem . It is an ...
... referred to what had been revealed in the investigation of the political " slush " fund of the Union Electric Company of Missouri . I wish to point out , however , that the item also relates to a somewhat broader problem . It is an ...
Términos y frases comunes
A. P. Giannini administrative America California America N. T. America National Trust application Bank of America BOREN buying CHAIRMAN Chicago Stock Exchange Commission's committee common stock Congress court dealers December directors effect Exchange Commission exemption fact Federal filed Francisco Stock Exchange Gas & Electric Holding Company Act industry investors issuer issues January January 12 listed Louisville Gas matter McGRANERY ment November 22 offering officers opinion Order for Hearing over-the-counter percent person present president proceeding proposed amendments prospectus provisions Public Utility Holding Purcell purchase purpose reasonable record regional exchanges registration statement representatives requirements rules and regulations San Francisco Stock Savings Association section 16 Securities Act Securities and Exchange Securities Exchange Act selling shares SMITH sold speculation staff statute stockholders subsidiaries Timetrust tion trading transactions Transamerica Corporation TWOMBLY underwriter Utility Holding Company Wadsworth York Curb Exchange York Stock Exchange YOUNGDAHL
Pasajes populares
Página 1405 - Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper. The Commission may modify its findings as to the facts, or make new findings, by reason of the additional evidence so taken...
Página 1510 - ... under common control with, the person specified. (b) Control. The term "control" (including the terms "controlling", "controlled by" and "under common control with") means the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a person, whether through the ownership of voting securities, by contract...
Página 1543 - Commission shall have reason to believe that any such person, partnership, or corporation has been or is using any unfair method of competition or unfair or deceptive act or practice in commerce, and if it shall appear to the Commission that a proceeding by it in respect thereof would be to the interest of the public...
Página 1445 - ... of the value of securities and thus prevent a fair calculation of taxes owing to the United States and to the several States by owners, buyers, and sellers of securities, and (c) prevent the fair valuation of collateral for bank loans and/or obstruct the effective operation of the national banking system and Federal Reserve System. (4) National emergencies, which produce widespread unemployment and the dislocation of trade, transportation, and industry, and which burden interstate commerce and...
Página 1406 - Any person who (1) offers or sells a security in violation of section 5, or (2) offers or sells a security (whether or not exempted by the provisions of section 3, other than paragraph (2) of subsection (a) thereof), by the use of any means or instruments of transportation or communication in interstate commerce or of the mails...
Página 1406 - ... by means of a prospectus or oral communication, which includes an untrue statement of a material fact or omits to state a material fact necessary in order to make the statements, in the light of the circumstances under which they were made, not misleading (the purchaser not knowing of such untruth or omission...
Página 1399 - 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 1411 - A security registered with a national securities exchange may be withdrawn or stricken from listing and registration in accordance with the rules of the exchange and, upon such terms as the Commission may deem necessary to impose for the protection of investors...
Página 1408 - ... Securities Exchange Act of 1934." NECESSITY FOR REGULATION AS PROVIDED IN THIS TITLE SEC. 2. For the reasons hereinafter enumerated, transactions in securities as commonly conducted upon securities exchanges and over-the-counter markets are affected with a national public interest which makes it necessary to provide for regulation and control of such transactions and of practices and matters related thereto...
Página 1508 - For the purpose of any such investigation, or any other proceeding under this title, any member of the Commission or any officer designated by it is empowered to administer oaths and affirmations, subpena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, or other records which the Commission deems relevant or material to the inquiry.