Annual Report of the SEC.U.S. Government Printing Office, 1956 |
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Resultados 1-5 de 100
Página 21
... violation of the anti- fraud and registration provisions of the Act . In S. E. C. v . Kaye Real & Co. , Inc. et al . , 28 a final judgment enjoining further violations of the anti - fraud and registration provisions of the Act was ...
... violation of the anti- fraud and registration provisions of the Act . In S. E. C. v . Kaye Real & Co. , Inc. et al . , 28 a final judgment enjoining further violations of the anti - fraud and registration provisions of the Act was ...
Página 32
... violations it is closed . If the quiz indi- cates that more intensive investigation is necessary , a formal order may be issued by the Commission . Virtually all of the Commission's investigations are privately conducted so that no ...
... violations it is closed . If the quiz indi- cates that more intensive investigation is necessary , a formal order may be issued by the Commission . Virtually all of the Commission's investigations are privately conducted so that no ...
Página 40
... violated the anti - fraud provisions of the Securities Act of 1933 , and revoked Pioneer's registration and expelled ... violations . The extensive series of administrative and court proceedings dis- cussed in the prior Annual Reports of ...
... violated the anti - fraud provisions of the Securities Act of 1933 , and revoked Pioneer's registration and expelled ... violations . The extensive series of administrative and court proceedings dis- cussed in the prior Annual Reports of ...
Página 41
... violations of the statutes , rules and regulations , including non - compliance with the Commission's capital and hypothecation rules , and with the margin and other requirements of Regulation T prescribed by the Board of Governors of ...
... violations of the statutes , rules and regulations , including non - compliance with the Commission's capital and hypothecation rules , and with the margin and other requirements of Regulation T prescribed by the Board of Governors of ...
Página 44
... violations of specified provisions of the Association's Rules of Fair Practice . Eighteen of these complaints were directed solely against members , while ten other complaints contained allegations against members and also against ...
... violations of specified provisions of the Association's Rules of Fair Practice . Eighteen of these complaints were directed solely against members , while ten other complaints contained allegations against members and also against ...
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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...