Securities Regulations for the District of ColumbiaU.S. Government Printing Office, 1962 - 59 páginas |
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Página 4
... rules . In 1961 , possibly because of the increase in the number of local firms that went out of business , the District's percentage dropped to 18 percent , but this was still twice the number of complaints per member as the national ...
... rules . In 1961 , possibly because of the increase in the number of local firms that went out of business , the District's percentage dropped to 18 percent , but this was still twice the number of complaints per member as the national ...
Página 7
... rules . Finally , under the District Code , the only penalty for operating without a license appears to be a fine up ... rule- making power in the Commission with respect to broker - dealers doing business in the District of Columbia ...
... rules . Finally , under the District Code , the only penalty for operating without a license appears to be a fine up ... rule- making power in the Commission with respect to broker - dealers doing business in the District of Columbia ...
Página 8
... administering two differ- ent sets of rules is evident . The same person who was unfit for the securities business under District standards might become fit federally upon 8 SECURITIES REGULATIONS FOR THE DISTRICT OF COLUMBIA.
... administering two differ- ent sets of rules is evident . The same person who was unfit for the securities business under District standards might become fit federally upon 8 SECURITIES REGULATIONS FOR THE DISTRICT OF COLUMBIA.
Página 9
... rules with respect to the District under the Securities Act of 1933. That would be with respect to new issues of securities . However , there may be some question as to our power to single out local broker - dealers under the Securities ...
... rules with respect to the District under the Securities Act of 1933. That would be with respect to new issues of securities . However , there may be some question as to our power to single out local broker - dealers under the Securities ...
Página 10
... rules for the District ? I would say that we are always having to put out fires in various areas ; relatively speaking , I do not think the District was regarded as a major area requiring special consideration until the past 3 or 4 ...
... rules for the District ? I would say that we are always having to put out fires in various areas ; relatively speaking , I do not think the District was regarded as a major area requiring special consideration until the past 3 or 4 ...
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...