SEC Oversight and Technical Amendments: Hearing Before the Subcommittee on Telecommunications, Consumer Protection, and Finance of the Committee on Energy and Commerce, House of Representatives, Ninety-eighth Congress, Second Session, on H.R. 4574 ... February 23, 1984, Volumen4U.S. Government Printing Office, 1984 - 373 páginas |
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accounting addition adopted agency amended by striking banks basis broker-dealers brokers BRYANT capital CFTC Chairman Shad Commission's Committee Common Stock Company Act Company's concerns continuous corporation counsel court debt DINGELL directors documents due diligence effective equity Exchange Commission exemptions FASB February 23 filings financial statements fiscal Form S-3 funds incorporated by reference index options industry inserting in lieu insider trading institutions integrated disclosure system Investment Company investor protection involved issue issuers John S.R. Shad legislation LELAND liability lieu thereof ment million officers Options Clearing Corporation paragraph participation Pay N Pak person proposed amendment prospectus pursuant registration statement regulation regulatory Release reports requirements responsibility result Rule SEC's Section Securities Act Securities and Exchange Securities Exchange Act shareholders shelf registration shelf registration statement staff subcommittee surveillance tion transactions Treadway underwriters violations WIRTH work-product doctrine York Stock Exchange
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Página 7 - Commission is responsible for the administration and enforcement of the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.
Página 256 - These securities have not been approved or disapproved by the Securities and Exchange Commission nor has the Commission passed upon the accuracy or adequacy of this prospectus. Any representation to the contrary Is a criminal offense.
Página 351 - Subject to the provisions of subdivision (b)(4) of this rule, a party may obtain discovery of documents and tangible things otherwise discoverable under subdivision (b)(l) of this rule and prepared in anticipation of litigation or for trial by or for another party or by or for that other party's representative...
Página 258 - No dealer, salesman or any other person has been authorized to give any information or to make any representations other than those contained in this Prospectus, in connection with the offer contained in the Prospectus, and, if given or made such information or representations must not be relied upon as having been authorized by the Company.
Página 209 - Commission by the registrant pursuant to section 13 or section 15(d) of the Securities Exchange Act of 1934 that are incorporated by reference in the registration statement.
Página 351 - ... only upon a showing that the party seeking discovery has substantial need of the materials in the preparation of the party's case and that the party is unable without undue hardship to obtain the substantial equivalent of the materials by other means.
Página 351 - ... prepared in anticipation of litigation or for trial by or for another party or by or for that other party's representative (including his attorney, consultant, surety, indemnitor, insurer, or agent) only upon a showing that the party seeking discovery has substantial need of the materials in the preparation of his case and that he is unable without undue hardship to obtain the substantial equivalent of the materials by other means.
Página 351 - ... mental impressions, conclusions, opinions, or legal theories of an attorney or other representative of a party concerning the litigation.
Página 209 - Act of 1934 that are incorporated by reference in the registration statement. (2) That, for the purpose of determining any liability under the Securities Act of 1933, each such post-effective amendment shall be deemed to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall be deemed to be the initial bona fide offering thereof. (3) To remove from registration by means of a post-effective amendment any of the securities...
Página 258 - This announcement is not an offer to sell or a solicitation of an offer to buy...