Securities Regulations for the District of ColumbiaU.S. Government Printing Office, 1962 - 59 páginas |
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Página 20
... instituted by or at the behest of the Securities and Exchange Commission . Thus , the two of the three areas covered in any State securities law seem to be amply covered by present laws . The one feature of cer- tain State laws not ...
... instituted by or at the behest of the Securities and Exchange Commission . Thus , the two of the three areas covered in any State securities law seem to be amply covered by present laws . The one feature of cer- tain State laws not ...
Página 33
... instituted within the next thirty days . ( b ) The following provisions govern the application of section 204 ( a ) ( 2 ) ( I ) : ( 1 ) The Director may not enter an order against a broker - dealer on the basis of the lack of ...
... instituted within the next thirty days . ( b ) The following provisions govern the application of section 204 ( a ) ( 2 ) ( I ) : ( 1 ) The Director may not enter an order against a broker - dealer on the basis of the lack of ...
Página 34
... instituted within thirty days after the application is filed . If a proceeding is pending or instituted , withdrawal becomes effective at such time and upon such conditions as the Director by order determines . If no proceeding is ...
... instituted within thirty days after the application is filed . If a proceeding is pending or instituted , withdrawal becomes effective at such time and upon such conditions as the Director by order determines . If no proceeding is ...
Página 38
... instituted by the Director , on the ground that the testimony or evidence ( documentary or other- wise ) required of him may tend to incriminate him or subject him to a penalty or forfeiture ; but no individual may be prosecuted or ...
... instituted by the Director , on the ground that the testimony or evidence ( documentary or other- wise ) required of him may tend to incriminate him or subject him to a penalty or forfeiture ; but no individual may be prosecuted or ...
Página 41
... instituted by him , forthwith sends notice of the service and a copy of the process by certified mail to the defendant or respondent at his last address on file with the Director , and ( 2 ) the plaintiff's affidavit of compliance with ...
... instituted by him , forthwith sends notice of the service and a copy of the process by certified mail to the defendant or respondent at his last address on file with the Director , and ( 2 ) the plaintiff's affidavit of compliance with ...
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...