Annual Report of the SEC.U.S. Government Printing Office, 1956 |
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Página vi
... Association of Securities Dealers , Inc .. Disciplinary actions ... Commission review of NASD disciplinary actions . Commission review of action on membership ... -- Litigation under the Securities Exchange Act of 1934 .. Participation ...
... Association of Securities Dealers , Inc .. Disciplinary actions ... Commission review of NASD disciplinary actions . Commission review of action on membership ... -- Litigation under the Securities Exchange Act of 1934 .. Participation ...
Página xiv
... Association of State Securities Administrators . His business background includes membership in an investment banking firm in Hartford , and he headed a lending institution in that city . On May 8 , 1952 , he took office as a member of ...
... Association of State Securities Administrators . His business background includes membership in an investment banking firm in Hartford , and he headed a lending institution in that city . On May 8 , 1952 , he took office as a member of ...
Página 26
... associations of brokers and dealers . It also regu- lates the use of credit in securities trading . While the authority to issue rules regarding such credit is lodged in the Board of Governors of the Federal Reserve System , the ...
... associations of brokers and dealers . It also regu- lates the use of credit in securities trading . While the authority to issue rules regarding such credit is lodged in the Board of Governors of the Federal Reserve System , the ...
Página 37
... Association of Securities Dealers Inc. and in stock exchanges for participating in violations of the Federal Securities laws or the regulations thereunder . Statistics of administrative proceedings to deny and revoke broker - TWENTY ...
... Association of Securities Dealers Inc. and in stock exchanges for participating in violations of the Federal Securities laws or the regulations thereunder . Statistics of administrative proceedings to deny and revoke broker - TWENTY ...
Página 38
... Association of Securities Dealers or an exchange Proceedings pending at start of fiscal year to : Revoke registration___ Revoke registration and suspend or expel from NASD1 or exchanges . Deny registration to applicant --- . Total ...
... Association of Securities Dealers or an exchange Proceedings pending at start of fiscal year to : Revoke registration___ Revoke registration and suspend or expel from NASD1 or exchanges . Deny registration to applicant --- . Total ...
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Términos y frases comunes
action aggregate Alleghany Corp amendment American Stock Exchange amicus curiae amount Annual Report application approved assets bonds broker-dealer brokers and dealers capital Commission Commission's common stock Company Act Release complaint Corp Corporation December 31 defendants denied directors distribution District Court effective electric and gas enforcement Exchange Act Release exemption filed fiscal year 1957 gas utility Holding Company Act holding company systems Injunction by consent interest Investment Advisers Investment Company Act investors issuers issues July June 25 June 30 ment million Mines Limited NASD national securities exchange offering officers pany pending percent petition preferred stock proceedings proposed provisions proxy Public Utility Holding purchase registered holding company registration statement regulation reorganization rule section 11 Securities Act Release Securities Exchange Act shares sold Southern District stockholders subsidiaries tion title 18 Total transactions underwriter Uranium utility companies Utility Holding Company violations York Stock Exchange
Pasajes populares
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...