Securities Regulations for the District of ColumbiaU.S. Government Printing Office, 1962 - 59 páginas |
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Página 50
... promoters flocking into Washington . The many reliable firms welcomed the better business bureau investigation and have labored with the dealers ' organization in its self - policing activities as they see the city's reputation for safe ...
... promoters flocking into Washington . The many reliable firms welcomed the better business bureau investigation and have labored with the dealers ' organization in its self - policing activities as they see the city's reputation for safe ...
Página 51
... promoters pretend the greatest solicitude for the safety of their customers ' money and act as though their only concern is to let a client in on a good thing , their actual goal is to make a killing before the stock they tout becomes ...
... promoters pretend the greatest solicitude for the safety of their customers ' money and act as though their only concern is to let a client in on a good thing , their actual goal is to make a killing before the stock they tout becomes ...
Página 52
... promoters recruit officers retiring from the Armed Forces as salesmen or junior partners . The promoters are attracted by the service contacts of these former officers as well as by their savings . The ex - FBI agent working with the ...
... promoters recruit officers retiring from the Armed Forces as salesmen or junior partners . The promoters are attracted by the service contacts of these former officers as well as by their savings . The ex - FBI agent working with the ...
Página 56
... promoters can be expected to cross the line into Washington . Virginia has a strict law patterned after the uniform act . The Virginia law , regulations drafted under it and its forthright enforcement are widely regarded as successful ...
... promoters can be expected to cross the line into Washington . Virginia has a strict law patterned after the uniform act . The Virginia law , regulations drafted under it and its forthright enforcement are widely regarded as successful ...
Página 58
... promoters . They don't have the capital or the experience to deal in good stocks even if they wanted to . " Experts in the field , from official investigators to reputable investment execu- tives , are convinced the promoters will ...
... promoters . They don't have the capital or the experience to deal in good stocks even if they wanted to . " Experts in the field , from official investigators to reputable investment execu- tives , are convinced the promoters will ...
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...