Decisions and Reports, Volumen23U.S. Government Printing Office, 1953 |
Dentro del libro
Resultados 1-5 de 99
Página iii
... Act of 1934 . Public Utility Holding Company Act of 1935 ...... . Trust Indenture Act of 1939 . Investment Advisers Act of 1940 . Investment Company Act of 1940 --- Page II V 1 768 769 771 ( * ) 786 783 TABLE OF REPORTS CHAPTER X OF THE ...
... Act of 1934 . Public Utility Holding Company Act of 1935 ...... . Trust Indenture Act of 1939 . Investment Advisers Act of 1940 . Investment Company Act of 1940 --- Page II V 1 768 769 771 ( * ) 786 783 TABLE OF REPORTS CHAPTER X OF THE ...
Página 1
... Company Act of 1940 - Section 8 ( f ) ) FINDINGS AND ORDER OF THE COMMISSION Investment Trust Fund B has filed an application under Section 8 ( f ) of the Investment Company Act of 1940 for an order declaring that it has ceased to be an ...
... Company Act of 1940 - Section 8 ( f ) ) FINDINGS AND ORDER OF THE COMMISSION Investment Trust Fund B has filed an application under Section 8 ( f ) of the Investment Company Act of 1940 for an order declaring that it has ceased to be an ...
Página 4
... Act of 1933 by the underwriters in effecting sales of the proposed securi- ties prior to a proper amending of the ... Company Act of 1935 , plus the further complications which may result if indicated violations of the Securities Act of ...
... Act of 1933 by the underwriters in effecting sales of the proposed securi- ties prior to a proper amending of the ... Company Act of 1935 , plus the further complications which may result if indicated violations of the Securities Act of ...
Página 30
... COMPANY File No. 70-1275 . Promulgated June 7 , 1946 ( Public Utility Holding Company Act of 1935 - Sections 6 , 7 and 12 ) ISSUANCE AND SALE OF SECURITIES . Declaration by registered holding company pursuant to Sections 6 , 7 and 12 of the ...
... COMPANY File No. 70-1275 . Promulgated June 7 , 1946 ( Public Utility Holding Company Act of 1935 - Sections 6 , 7 and 12 ) ISSUANCE AND SALE OF SECURITIES . Declaration by registered holding company pursuant to Sections 6 , 7 and 12 of the ...
Página 43
... Company Act of 1940 - Section 17 ( b ) ) TRANSACTIONS OF AFFILIATED PERSONS - REDEMPTION BY AFFILIATE CONTROLLED BY A REGISTERED INVESTMENT COMPANY OF ITS OWN SECURITIES INCLUDING THOSE OWNED BY SUCH INVESTMENT COMPANY The redemption by ...
... Company Act of 1940 - Section 17 ( b ) ) TRANSACTIONS OF AFFILIATED PERSONS - REDEMPTION BY AFFILIATE CONTROLLED BY A REGISTERED INVESTMENT COMPANY OF ITS OWN SECURITIES INCLUDING THOSE OWNED BY SUCH INVESTMENT COMPANY The redemption by ...
Otras ediciones - Ver todas
Decisions and Reports, Volumen3 United States. Securities and Exchange Commission Vista completa - 1940 |
Decisions and Reports, Volumen9 United States. Securities and Exchange Commission Vista completa - 1943 |
Decisions and Reports, Volumen4 United States. Securities and Exchange Commission Vista completa - 1940 |
Términos y frases comunes
accrued adjustments affiliated person aggregate amended American amortization application approved balance sheet bank basis Bond and Share capital stock capital surplus carrying value cash Commission common shares common stock consolidated convertible debentures Corporation cumulative debentures December 31 depreciation distribution dividends earned surplus Edison England estimated excess profits taxes exchange exemption expenses filed forma Franklin Simon fund holders Holding Company Act interest Investment Company Act issuance issue and sale liabilities Light & Power liquidation long-term debt March 31 ment operating original cost outstanding pany par value payment Penelec Pennsylvania Power & Light preferred shares preferred stock preferred stockholders principal amount pro forma proposed transactions provisions of Section Public Utility Public Utility Holding purchase pursuant to Section redemption registered holding company requirements reserve respect Rule second preferred Section 11 securities shares of common taxes tion Total Trust underwriters Utility Holding Company utility plant voting
Pasajes populares
Página 43 - ... per centum or more of whose outstanding voting securities are directly or indirectly owned, controlled, or held with power to vote, by such other person : (C) any person directly or indirectly controlling, controlled by, or under common control with, such other person...
Página 726 - ... (b) To use or employ, in connection with the purchase or sale of any security registered on a national securities exchange or any security not so registered, any manipulative or deceptive device or contrivance in contravention of such rules and regulations as the Commission may prescribe as necessary or appropriate in the public interest or for the protection of investors.
Página 726 - It shall be unlawful for any person in the offer or sale of any securities by the use of any means or instruments of transportation or communication in interstate commerce or by the use of the mails, directly or indirectly — (1) to employ any device, scheme, or artifice to defraud, or...
Página 726 - No broker or dealer shall make use of the mails or of any means or instrumentality of interstate commerce to effect any transaction in, or to induce or attempt to induce the purchase or sale of, any security (other than an exempted security or commercial paper, bankers...
Página 455 - Blotters (or other records of original entry) containing an itemized daily record of all purchases and sales of securities, all receipts and deliveries of securities (including certificate numbers), all receipts and disbursements of cash and all other debits and credits.
Página 726 - ... 1 ) to employ any device, scheme, or artifice to defraud, (2) to make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading...
Página 446 - In securities ; (2) is engaged or proposes to engage in the business of issuing faceamount certificates of the installment type, or has been engaged in such business and has any such certificate outstanding ; or (3) is engaged or proposes to engage in the business of investing, reinvesting, owning, holding, or trading In securities...
Página 404 - 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 726 - ... (1) to employ any device, scheme, or artifice to defraud, (2) to make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading, or .3) to engage in any act, practice or course of business which operates or would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security.
Página 726 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails or of any facility of any national securities exchange, "(a) To employ any device, scheme, or artifice to defraud...