Annual Report of the SEC.U.S. Government Printing Office, 1963 |
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Resultados 1-5 de 100
Página 5
... transactions presented , as in past years , a major problem for the Commission and occupied the time of a large portion of its staff . As described in more detail in subse- quent portions of this report , the Commission continued to ...
... transactions presented , as in past years , a major problem for the Commission and occupied the time of a large portion of its staff . As described in more detail in subse- quent portions of this report , the Commission continued to ...
Página 10
... transactions are effected on behalf of the security holders by the issuer or an affiliate of the issuer or by a bank or other independent agent.2 Adoption of Rule 155 During the fiscal year the Commission adopted a new Rule 155.3 The ...
... transactions are effected on behalf of the security holders by the issuer or an affiliate of the issuer or by a bank or other independent agent.2 Adoption of Rule 155 During the fiscal year the Commission adopted a new Rule 155.3 The ...
Página 12
... transactions within 1 year " as previously used in the third clause of Section 4 ( 1 ) of the Securities Act , has been amended to define the term " transactions prior to the expiration of 40 days , " which is the present language of ...
... transactions within 1 year " as previously used in the third clause of Section 4 ( 1 ) of the Securities Act , has been amended to define the term " transactions prior to the expiration of 40 days , " which is the present language of ...
Página 16
... transaction , including the loan arrangement , is suitable for the customer , and to deliver to him a written statement setting forth the basis upon which this determination was made . If , in connection with the transaction , it is ...
... transaction , including the loan arrangement , is suitable for the customer , and to deliver to him a written statement setting forth the basis upon which this determination was made . If , in connection with the transaction , it is ...
Página 17
... transactions for the firm . Secondly , the availability of such information in the firm's records will be of value to the Commission in its broker - dealer inspec- tions and enforcement activities . Since the National Association of ...
... transactions for the firm . Secondly , the availability of such information in the firm's records will be of value to the Commission in its broker - dealer inspec- tions and enforcement activities . Since the National Association of ...
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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.