Securities Regulations for the District of ColumbiaU.S. Government Printing Office, 1962 - 59 páginas |
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Página
... Additional information submitted for the record : 2 26 2220 Gray , Chester H. , Corporation Counsel , District of Columbia , letter from , transmitting draft of proposed regulations , April 20 , 1962 .. 30 " Investors Beware , " series ...
... Additional information submitted for the record : 2 26 2220 Gray , Chester H. , Corporation Counsel , District of Columbia , letter from , transmitting draft of proposed regulations , April 20 , 1962 .. 30 " Investors Beware , " series ...
Página 2
... additional corrective action is undertaken . It is my under- standing that a main purpose of these hearings is to assist in the determination of what such action might be . I wish to point out that the problems of securities regulation ...
... additional corrective action is undertaken . It is my under- standing that a main purpose of these hearings is to assist in the determination of what such action might be . I wish to point out that the problems of securities regulation ...
Página 4
... additional measure of what has been the poor health of the broker - dealer community here . Nationally , in 1961 , approximately 8 percent of the firms admitted to the NASD failed . In the District , 18 percent of NASD member firms ...
... additional measure of what has been the poor health of the broker - dealer community here . Nationally , in 1961 , approximately 8 percent of the firms admitted to the NASD failed . In the District , 18 percent of NASD member firms ...
Página 18
... additional legislation to deal with this problem , or is this one of the matters that you presently have under study with your special investigation ? Mr. CARY . I would say , sir , that this is a matter which we have presently under ...
... additional legislation to deal with this problem , or is this one of the matters that you presently have under study with your special investigation ? Mr. CARY . I would say , sir , that this is a matter which we have presently under ...
Página 19
... additional legislation . Our question is whether we should establish rules for the District of Columbia which we have not established yet for the other parts of the country ? Mr. MACK . My point is you would need additional authority ...
... additional legislation . Our question is whether we should establish rules for the District of Columbia which we have not established yet for the other parts of the country ? Mr. MACK . My point is you would need additional authority ...
Términos y frases comunes
action administrator agent amendment American Diversified applicant for licensing Association of Securities authority better business bureau blue sky broker capital CARY certificates Chairman Commissioners committee complaints Congress Corporation Counsel customers Director District government District of Columbia draft effective enforcement evidence Exchange Act Exchange Commission experience Federal filed fraud fraudulent FULTON HASTINGS KEITH HEMPHILL instituted interest interstate commerce investigation investment adviser investment firms Investors Beware issued jurisdiction KEITH KNEIPP KORMAN legislation licensed broker-dealer licensing of broker-dealers LOOMIS MACK Maryland ment Miriam Ottenberg NASD National Association offer operate percent person present problem proceeding promoters provisions question recommendation regional office registration require respect revocation revoked salesmen section 15 Securities and Exchange securities business Securities Dealers securities regulation sell shares situation statement STUART LAW surety bond tion transaction Uniform Securities Act unlawful violation Virginia Washington D.C. Washington Star
Pasajes populares
Página 30 - 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 37 - It shall be unlawful to make, or cause to be made, to any prospective purchaser any representation contrary to the foregoing provisions of this section.
Página 33 - ... or is the subject of an order of the Securities and Exchange Commission suspending or expelling him from a national securities exchange or national securities association registered under the Securities Exchange Act of 1934...
Página 38 - Commission, on the ground that the testimony or evidence, documentary or otherwise, required of him may tend to incriminate him or subject him to a penalty or forfeiture...
Página 56 - I commend the Securities and Exchange Commission and the National Association of Securities Dealers, Inc...
Página 35 - sell" includes every contract of sale of, contract to sell, or disposition of, a security or interest in a security for value. (2) "Offer" or "offer to sell" includes every attempt or offer to dispose of, or solicitation of an offer to buy, a security or interest in a security for value.
Página 34 - broker" means any person engaged in the business of effecting transactions in securities for the account of others, but does not include a bank. (5) The term "dealer...
Página 35 - Person" means an individual, a corporation, a partnership, an association, a joint stock company, a business trust, or any organized group of persons, whether incorporated or not, or any receiver or trustee. 22. "Premium...
Página 35 - Investment adviser" means any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities...
Página 36 - Any note, draft, bill of exchange or banker's acceptance which arises out of a current transaction or the proceeds of which have been or are to be used for current transactions...