Annual Report of the SEC. |
Dentro del libro
Página vi
Exemption from regist tion of small issues.Exempt offerings under Regulation A ... Suspension of exemption -- Exempt offerings under Regulation B. Exempt offerings under Regulation E. Exempt offerings under Regulation F. 22 22 22 23 23 ...
Exemption from regist tion of small issues.Exempt offerings under Regulation A ... Suspension of exemption -- Exempt offerings under Regulation B. Exempt offerings under Regulation E. Exempt offerings under Regulation F. 22 22 22 23 23 ...
Página 25
... date letter to in registrastaff's letter of filing effective date of comment amendment of registrathereafter tion Number of registration statements effective a Months tion 7 41 47 46 50 58 67 70 65 July 1961 . August . September .
... date letter to in registrastaff's letter of filing effective date of comment amendment of registrathereafter tion Number of registration statements effective a Months tion 7 41 47 46 50 58 67 70 65 July 1961 . August . September .
Página 34
... and regulations exempting securities issued by a company which is operating or proposes to operate as a small business investment company under the Small 34 SECURITIES AND EXCHANGE COMMISSION Exemption from regist tion of small issues -
... and regulations exempting securities issued by a company which is operating or proposes to operate as a small business investment company under the Small 34 SECURITIES AND EXCHANGE COMMISSION Exemption from regist tion of small issues -
Página 83
Less : Adjustment to eliminate duplica- tion in count resulting from 3 compan ics being subsidiaries in 2 systems and 2 companies being subsidiaries in 3 systems.3 Add : Adjustment to include the assets of these 5 jointly owned ...
Less : Adjustment to eliminate duplica- tion in count resulting from 3 compan ics being subsidiaries in 2 systems and 2 companies being subsidiaries in 3 systems.3 Add : Adjustment to include the assets of these 5 jointly owned ...
Página 86
... 1962 , the Commis- sion issued its Findings , Opinion and Order granting the application.11 On January 3 , 1962 , the Commission approved the proposed acquisi- tion by General Public Utilities of $ 52,500,000 face amount of letters ...
... 1962 , the Commis- sion issued its Findings , Opinion and Order granting the application.11 On January 3 , 1962 , the Commission approved the proposed acquisi- tion by General Public Utilities of $ 52,500,000 face amount of letters ...
Comentarios de la gente - Escribir un comentario
No encontramos ningún comentario en los lugares habituales.
Contenido
| 37 | |
| 111 | |
| 157 | |
| 166 | |
| 212 | |
| 218 | |
| 1 | |
| xi | |
| 171 | |
| 172 | |
| 180 | |
| 186 | |
| 193 | |
| 194 | |
| 205 | |
| 218 | |
| 224 | |
| 26 | |
| 1 | |
| 108 | |
| 118 | |
| xi | |
| xvii | |
| 10 | |
| 16 | |
| 17 | |
| 76 | |
Otras ediciones - Ver todas
Términos y frases comunes
action activities addition adopted adviser amendments American amount Annual Report appeal application appointment Association authority Bank bonds broker-dealer capital changes Chapter Closed Commission Commission's Complaint filed Corp Corporation court dealers defendants denied Development directors dismissed distribution district court effective entered exemption Final judgment fiscal Form funds injunction instituted interest Investment Company Act investors involved issuer issues judgment by consent July June 30 listed March matters ment million Mines motion NASD offering Office Pending percent period persons petition practices principal proceedings proposed provides pursuant receiver registration statement Regulation relating remaining reports represented request respect Rule Section Securities Act Securities Exchange Act Sept shares Southern District Special staff Stock Exchange Study suspended tion Title 18 trading transactions Trust United violations York
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.
Información bibliográfica
| Título | Annual Report of the SEC. |
| Autor | United States. Securities and Exchange Commission |
| Editor | U.S. Government Printing Office, 1963 |
| Procedencia del original | Universidad de Michigan |
| Digitalizado | 29 Dic. 2006 |
| Exportar cita | BiBTeX EndNote RefMan |