Small Business Investment Incentive Act: Hearings Before the Subcommittee on Consumer Protection and Finance of the Committee on Interstate and Foreign Commerce, House of Representatives, Ninety-sixth Congress, First Session, on H.R. 3991 ... November 7 and 8, 1979U.S. Government Printing Office, 1980 - 487 páginas Barney the dog faces dognappers, a whip, and a coal-black panther that invades Farmer John's place. |
Otras ediciones - Ver todas
Términos y frases comunes
accredited investor Advisers Act affiliated person Amdahl Amdahl Corporation application assets bill BROYHILL business development company Business Investment Companies Capital Corp capital formation Chairman Citibank Commission's Committee common stock company's Congress counsel currently definition disclosure disinterested directors engaged equity Exchange Commission Federal Express federal securities laws Fujitsu Garrett hearings Heizer Corporation Investment Advisers Investment Company Act investor protection involving issuer legislation limited liquidity LOOMIS Lybecker Mendelsohn ment Company mutual funds net asset value officers Omex operate OPPER panies percent portfolio companies private offering problem prohibited public offering purchasing securities pursuant Ray Garrett registered investment company regulation resale restricted securities rulemaking SBIC financing SBIC's Section 17 Section 4(2 Securities Act Securities and Exchange sell shareholders shares Small Business Investment staff Subcommittee substantial testimony tion transaction underwriter venture capital companies venture capital firms venture capital industry voting securities WALLISON
Pasajes populares
Página 123 - The Commission may make such investigations as it deems necessary to determine whether any person has violated or is about to violate any provision of the [Act] or of any rule, regulation, or order [t]hereunder, or to determine whether any action in any court or any proceeding before the Commission shall be instituted under
Página 61 - underwriter" to mean "any person who has purchased from an issuer with a view to, or offers or sells for an issuer in connection with, the distribution of any security, or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in
Página 51 - person who has purchased fron an issuer with a view to, or offers or sells for an issuer in connection with, the distribution of any security, or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in
Página 392 - or holds with power to vote, 5 per centum or more of the outstanding voting securities of a company which is a party to the transaction; or (vii) an interest acquired in a transaction described in paragraph (d)(3) of Rule 17d-l under the Act [applies only to SBICs].
Página 72 - As used in the definition, the term "issuer" includes, in addition to an issuer, "any person directly or indirectly controlling or controlled by the issuer, or any person under direct or indirect common control with the issuer.
Página 121 - Sections 9 and 10 of the Act afford investment company shareholders certain protections with respect to the persons who will occupy key positions with the investment company or its related entities. Section 9(a) prohibits persons who have, among other things, been convicted of any felony or misdemeanor involving the purchase or sale of a security or arising out of
Página 481 - which, directly or indirectly, through any contract, arrangement, understanding, relationship, or otherwise has or shares (i) voting power which includes the power to vote or to direct the voting of, such security, or (ii) investment power which includes the power to dispose, or to direct the disposition of, such security.
Página 22 - As used in the definition, the term "issuer" includes, in addition to an issuer, "any person directly or indirectly controlling or controlled by the issuer, or any person under direct or indirect