District of Columbia Securities Act: Hearings...88-2...March 5, 19, and April 29, 1964 |
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action administration agent amended application appropriate Association authority believe bill bond broker-dealer brokers Cary certificate Chairman Commission Commissioners committee concerned Congress considered Court dealers definition determine director District of Columbia effective engaged evidence exempt existing fact Federal filed firms fixed fund give hearing House institute insurance company interest Investment Company investors involved issued issuer jurisdiction legislation license LOOMIS material matter means necessary offer period person position practices prescribe present problem proceeding proposed protection provisions purchase qualified question reason received record referred regulation reports Representatives require respect rule or order Securities Act Securities and Exchange securities business sell Senator DOMINICK Senator HARTKE similar specified statement suspension tion transaction trust understand Uniform United unless variable annuities variable annuity contracts violation Washington
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Página 16 - ... security" or any certificate of interest or participation in, temporary or interim certificate for, receipt for, guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing.
Página 21 - ... by means of a prospectus or oral communication, which includes an untrue statement of a material fact or omits to state a material fact necessary in order to make the statements, in the light of the circumstances under which they were made, not misleading (the purchaser not knowing of such untruth or omission...
Página 16 - 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 4 - When used in this title, unless the context otherwise requires — (1) the term "security" means any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas, or other mineral rights, or, in...
Página 20 - Commission, on the ground that the testimony or evidence, documentary or otherwise, required of him may tend to incriminate him or subject him to a penalty or forfeiture...
Página 58 - Commission or any officer designated by it is empowered to administer oaths and affirmations, subpena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, or other records which the Commission deems relevant or material to the inquiry.
Página 71 - No policy of group insurance shall be issued or delivered in this state unless and until a copy of the form thereof has been filed with the commissioner of insurance and approved by him; nor shall such policy be so issued or delivered unless it contains in substance the following provisions.
Página 15 - Any security exchanged by the issuer with its existing security holders exclusively where no commission or other remuneration is paid or given directly or indirectly for soliciting such exchange...
Página 20 - The Commission may, in its discretion, make such investigations as it deems necessary to determine whether any person has violated or is about to violate...
Página 11 - ... is filed in the case on or before the return day of the process, if any, or within such further time as the court allows.
Información bibliográfica
| Título | District of Columbia Securities Act: Hearings...88-2...March 5, 19, and April 29, 1964 |
| Autor | United States. Congress. Senate. District of Columbia |
| Publicado | 1964 |
| Largo | 131 páginas |
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