Decisions and Reports, Volumen25U.S. Government Printing Office, 1953 |
Dentro del libro
Resultados 1-5 de 100
Página 3
... findings and counsel for registrant has filed a request that the suspension of registration on the New York Curb Exchange be terminated . Oral argument and a trial examiner's report or other intermediate decision have been waived . On ...
... findings and counsel for registrant has filed a request that the suspension of registration on the New York Curb Exchange be terminated . Oral argument and a trial examiner's report or other intermediate decision have been waived . On ...
Página 10
... findings present a factual background against which consideration of the specific deficiencies alleged in the notices and orders for hearing may be projected . The focal point of these de- ficiencies is to be found in the financial ...
... findings present a factual background against which consideration of the specific deficiencies alleged in the notices and orders for hearing may be projected . The focal point of these de- ficiencies is to be found in the financial ...
Página 28
... FINDINGS AND OPINION OF THE COMMISSION The National Association of Securities Dealers , Inc. ( " NASD " ) , a national securities association , has disapproved the application for membership of Lawrence R. Leeby , doing business as ...
... FINDINGS AND OPINION OF THE COMMISSION The National Association of Securities Dealers , Inc. ( " NASD " ) , a national securities association , has disapproved the application for membership of Lawrence R. Leeby , doing business as ...
Página 30
... findings and order granting him regis- tration , and the recommendation of the District Business Conduct Committee , and that the recommendation of the subcommittee " was based upon the disability arising under Section 15A ( b ) ( 4 ) ...
... findings and order granting him regis- tration , and the recommendation of the District Business Conduct Committee , and that the recommendation of the subcommittee " was based upon the disability arising under Section 15A ( b ) ( 4 ) ...
Página 31
... findings which state plainly the reasons for the NASD's action . In the instant case , such findings have not been made and , accordingly , our decision herein must , of necessity , be made without the benefit which would and should be ...
... findings which state plainly the reasons for the NASD's action . In the instant case , such findings have not been made and , accordingly , our decision herein must , of necessity , be made without the benefit which would and should be ...
Otras ediciones - Ver todas
Decisions and Reports, Volumen3 United States. Securities and Exchange Commission Vista completa - 1940 |
Decisions and Reports, Volumen9 United States. Securities and Exchange Commission Vista completa - 1943 |
Decisions and Reports, Volumen4 United States. Securities and Exchange Commission Vista completa - 1940 |
Términos y frases comunes
accrued acquisition additional adjustments Amended Plan application appropriate approval assets Atlantic City balance sheet basis Bennett broker-dealer capital surplus cash certificates Cities Commission common stock common stockholders consolidated Corporation debentures debt December 31 depreciation dividends earned surplus effect Escrow estimated fair and equitable Federal filed FINDINGS AND OPINION forma Hamilton Funds hearing held Holding Company Act Illinois Power interest investment company issuance issued liabilities Light & Power merger mortgage bonds NASD North American Ogden outstanding pany par value payment Pepco Power & Light Power Company preferred stock preferred stockholders principal amount pro forma proceedings proposed transactions provisions of Section Public Utility Public Utility Holding purchase pursuant to Section record Red Bank registered holding company requirements reserve respect retirement Section 11 Securities Exchange Act shares of common tion Total Trust Upper Peninsula Utility Holding Company utility plant voting Washington Railway York Curb Exchange
Pasajes populares
Página 213 - ... 1 ) to employ any device, scheme, or artifice to defraud, (2) 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 204 - ... per centum or more of whose outstanding voting securities are directly or indirectly owned, controlled, or held with power to vote, by such other person; (C) any person directly or indirectly controlling, controlled by, or under common control with, such other person...
Página 377 - 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, or "(c) To engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security.
Página 342 - underwriter" means any person who has purchased from an issuer with a view to, or offers or sells for an issuer in connection with, the distribution of any security, or participates or has a direct or indirect participation in any such undertaking...
Página 229 - It shall be unlawful for any person, by the use of the mails or by any means or instrumentality of interstate commerce or of any facility of any national securities exchange or otherwise...
Página 369 - ... necessary or appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policy and provisions of this title.
Página 377 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce or of the mails, or of any facility of any national securities exchange— [b] To use or employ, in connection with the purchase or sale of any security registered on a national securities exchange or any security not so registered...
Página 770 - Investors or consumers and not detrimental to the proper functioning of such system or systems. (2) To require by order, after notice and opportunity for hearing, that each registered holding company, and each subsidiary company thereof, shall take such steps as the Commission shall find necessary to ensure that the corporate structure or continued existence of any company in the holdingcompany system does not unduly or unnecessarily complicate the structure, or unfairly or inequitably distribute...
Página 366 - broker" means any person engaged in the business of effecting transactions in securities for the account of others, but does not include a bank.
Página 493 - No solicitation subject to this regulation shall be made by means of any proxy statement, form of proxy, notice of meeting or other communication, written or oral, containing any statement which, at the time and in the light of the circumstances under which it is made, is false or misleading with respect to any material fact, or...