Securities Regulations for the District of ColumbiaU.S. Government Printing Office, 1962 - 59 páginas |
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Página 4
... proceedings were brought by the Commission against District firms . From July 1 , 1959 , to May 7 , 1962 , a period of less than 3 years , a total of 20 such proceedings were brought , nearly twice that of the previous period ...
... proceedings were brought by the Commission against District firms . From July 1 , 1959 , to May 7 , 1962 , a period of less than 3 years , a total of 20 such proceedings were brought , nearly twice that of the previous period ...
Página 5
... proceedings . Nearly half of the firms which commenced business in the past 5 years and failed had no executive with any previous experience except in a firm involved in revocation proceedings or injunctive action . The consequences ...
... proceedings . Nearly half of the firms which commenced business in the past 5 years and failed had no executive with any previous experience except in a firm involved in revocation proceedings or injunctive action . The consequences ...
Página 6
... proceedings against District broker - dealers , involving a total of 79 persons from the local area , and 23 parties from other areas . Indicative of the complexity of these administrative cases is one pending broker - dealer proceeding ...
... proceedings against District broker - dealers , involving a total of 79 persons from the local area , and 23 parties from other areas . Indicative of the complexity of these administrative cases is one pending broker - dealer proceeding ...
Página 7
... proceedings before the Com- mission , and injunctive and criminal actions filed by the Commission in Federal courts , necessarily must follow prescribed procedures and meet high standards of proof which , in turn , frequently delay ap ...
... proceedings before the Com- mission , and injunctive and criminal actions filed by the Commission in Federal courts , necessarily must follow prescribed procedures and meet high standards of proof which , in turn , frequently delay ap ...
Página 12
... proceeding prior to taking any action with respect to the firm . Mr. MACK . Mr. Hemphill ? Mr. HEMPHILL . Thank you , Mr. Chairman . Mr. Chairman , may I first say as a member of the subcommittee I have been most happy in noting the ...
... proceeding prior to taking any action with respect to the firm . Mr. MACK . Mr. Hemphill ? Mr. HEMPHILL . Thank you , Mr. Chairman . Mr. Chairman , may I first say as a member of the subcommittee I have been most happy in noting the ...
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...