Annual Report of the SEC.U.S. Government Printing Office, 1963 |
Dentro del libro
Resultados 1-5 de 100
Página 16
... entered into , the broker or dealer delivers to him a written statement setting forth certain material information concern- ing the arrangement being offered . In addition , the broker or dealer is required to obtain from each customer ...
... entered into , the broker or dealer delivers to him a written statement setting forth certain material information concern- ing the arrangement being offered . In addition , the broker or dealer is required to obtain from each customer ...
Página 103
... entered in December 1960 , and thereafter the debtor filed a Chapter XI petition . At the time the petition was filed , approximately $ 40,000,000 had been invested by some 10,000 investors in second deeds of trust . All the stock of ...
... entered in December 1960 , and thereafter the debtor filed a Chapter XI petition . At the time the petition was filed , approximately $ 40,000,000 had been invested by some 10,000 investors in second deeds of trust . All the stock of ...
Página 131
... entered stipulations agreeing not to change their present investment position in the portfolio com- panies , pending trial on the merits . Upon the filing of these stipula- tions , the Commission withdrew its motion for a preliminary ...
... entered stipulations agreeing not to change their present investment position in the portfolio com- panies , pending trial on the merits . Upon the filing of these stipula- tions , the Commission withdrew its motion for a preliminary ...
Página 197
... entered dismissing indictment as to 4 defendants . Notice of appeal filed from the order entered Feb. 14 , 1962 , dismissing as to 1 defendant . Pending . Order entered dismissing indictment as to 3 defendants . Notice of appeal filed ...
... entered dismissing indictment as to 4 defendants . Notice of appeal filed from the order entered Feb. 14 , 1962 , dismissing as to 1 defendant . Pending . Order entered dismissing indictment as to 3 defendants . Notice of appeal filed ...
Página 199
... entered by defendants and bond set for $ 1,000 each . Various motions filed . Pending . 2 defendants convicted and sentenced to 3 years imprisonment on 4 counts of the indictment ; 1 defendant pleaded guilty to 1 Sec . 17 ( a ) count ...
... entered by defendants and bond set for $ 1,000 each . Various motions filed . Pending . 2 defendants convicted and sentenced to 3 years imprisonment on 4 counts of the indictment ; 1 defendant pleaded guilty to 1 Sec . 17 ( a ) count ...
Contenido
v | |
xii | |
16 | |
31 | |
38 | |
xi | |
1 | |
21 | |
172 | |
174 | |
180 | |
186 | |
193 | |
194 | |
205 | |
218 | |
224 | |
26 | |
37 | |
111 | |
157 | |
166 | |
212 | |
218 | |
106 | |
107 | |
118 | |
172 | |
vi | |
viii | |
xi | |
xvii | |
15 | |
27 | |
34 | |
41 | |
45 | |
65 | |
96 | |
105 | |
Otras ediciones - Ver todas
Términos y frases comunes
action amendments American Stock Exchange amicus curiae amount Annual Report appeal filed application appointment assets Association bonds broker broker-dealer Closed Commission's common stock Complaint and request Complaint filed consent entered Corp dealers defendants entered directors dismissed district court effective ended June 30 Exchange Act Release exemption Final judgment fiscal fiscal year ended funds Holding Company Holding Company Act investment adviser Investment Company Act investors issuer issues judgment by consent July June 13 June 30 ment million Mines NASD national securities exchange offering Order entered Pending percent petition preferred stock Preliminary injunction principal proceedings proposed provisions proxy receiver filed registration statement Regulation remaining defendant Rule Securities Act Securities Exchange Act security holders Sept Southern District staff stockholders subsidiaries suspended tion Title 18 Total transactions Trust U.S.C. Secs underwriter violations York Stock Exchange
Pasajes populares
Página 99 - Department of the Wharton School of Finance and Commerce of the University of Pennsylvania.
Página 60 - 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 109 - ... necessary or appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policy and provisions of this title.
Página 30 - 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 59 - Every person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of any equity security (other than an exempted security) which is registered on a national securities exchange, or who is a director or an officer of the issuer of such security...
Página 36 - 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...
Página 41 - A corporation which is licensed to operate as a small business investment company under the Small Business Investment Act Of 1958 (15 USC Ch.
Página 66 - The 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 194 - 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 2 - Region 5. Oklahoma, Arkansas, Texas, that part of Louisiana lying west of the Atchafalaya River, and Kansas (except Kansas City)— Regional Administrator, 503 US Court House, 10th and Lamar Streets, Fort Worth.