Annual Report of the SEC.


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Página xv - 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 15 - A member, in the conduct of his business, shall observe high standards of commercial honor and just and equitable principles of trade.
Página 12 - ... is not necessary in the public interest and for the protection of investors by reason of the small amount involved or the limited character of the public offering...
Página 92 - ... 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 12 - Commission under authority thereof, or any person who willfully, in a registration statement filed under this title, makes any untrue statement of a material fact or omits to state any material fact required to be stated therein or necessary to make the statements therein not misleading, shall upon conviction be fined not more than $5,000 or imprisoned not more than five years, or both.
Página 33 - Act or any company registered as an investment company under the Investment Company Act of 1940, 15 USC 80a-1, et seq., as amended, naming such company.
Página 55 - ... such holding company, and every subsidiary company thereof which is a public-utility company from which such holding company derives, directly or indirectly, any material part of its income, are predominantly intrastate in character and carry on their § business substantially in a single State...
Página xv - ... (e) (1) A registration statement under the Securities Act of 1933 relating to a security issued by a face-amount certificate company or a redeemable security issued by an open-end management company or unit investment trust...
Página 84 - The trustee upon his appointment and qualification — (1) shall, if the judge shall so direct, forthwith investigate the acts, conduct, property, liabilities, and financial condition of the debtor, the operation of its business and the desirability of the continuance thereof, and any other matter relevant to the proceeding or to the formulation of a plan, and report thereon to the judge...

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