District of Columbia Securities Act: Hearings...88-2...March 5, 19, and April 29, 19641964 - 131 páginas |
Dentro del libro
Resultados 1-5 de 45
Página 1
... DEFINITIONS SEC . 2. When used in this title , unless the context otherwise requires : ( a ) " Agent " means any individual ... definition . ( b ) " Broker - dealer " means any person engaged in the business of effecting transactions in ...
... DEFINITIONS SEC . 2. When used in this title , unless the context otherwise requires : ( a ) " Agent " means any individual ... definition . ( b ) " Broker - dealer " means any person engaged in the business of effecting transactions in ...
Página 2
... defined in the first section of the Revised Statutes of the United States relating to the District of Columbia ( Forty - third Congress ; sec . 1-101 , D.C. Code , 1961 edition ) . or as the government and municipal corporation of that ...
... defined in the first section of the Revised Statutes of the United States relating to the District of Columbia ( Forty - third Congress ; sec . 1-101 , D.C. Code , 1961 edition ) . or as the government and municipal corporation of that ...
Página 3
... defined in this subsection do not include ( A ) any bona fide pledge or loan ; ( B ) any stock dividend , whether the corporation distributing the dividend is the issuer of the stock or not , if nothing of value is given by stockholders ...
... defined in this subsection do not include ( A ) any bona fide pledge or loan ; ( B ) any stock dividend , whether the corporation distributing the dividend is the issuer of the stock or not , if nothing of value is given by stockholders ...
Página 6
... defined in this Act , or is the subject of an order of the Securities and Exchange Commission , suspending or expelling him from a national securities exchange or national securities association , or is the subject of a United States ...
... defined in this Act , or is the subject of an order of the Securities and Exchange Commission , suspending or expelling him from a national securities exchange or national securities association , or is the subject of a United States ...
Página 11
... definitions of any terms , whether or not used in this Act , insofar as the definitions are not inconsistent with the provisions of this Act . For the purpose of rules and forms , the Commission may classify persons and matters within ...
... definitions of any terms , whether or not used in this Act , insofar as the definitions are not inconsistent with the provisions of this Act . For the purpose of rules and forms , the Commission may classify persons and matters within ...
Términos y frases comunes
ACHESON amended Annuity Life Insurance Association of Securities Better Business Bureau bill bond broker-dealer or agent brokers CARY certificate Chairman Columbia Securities Act committee CONGLETON Congress D.C. Code definition of security District of Columbia dual regulation effective Exchange Commission exclude variable annuities exempt filed GILBERTSON hearing House Insurance Act insurance company Investment Company Act issued issuer jurisdiction legislation LOOMIS ment mutual fund NASD offer problem proceeding proposed provisions Prudential public interest Public Service Commission Public Utilities Commission purchase pursuant question regulatory require rule or order sale of variable Securities and Exchange securities business Securities Dealers securities law sellers selling securities selling variable annuities Senator DOMINICK Senator HARTKE service of process specifically statement statute subcommittee Superintendent of Insurance Supreme Court surety bond suspension tion transaction U.S. attorney U.S. Senate Uniform Act Uniform Securities Act VALIC VANCE HARTKE variable annuity contracts violation Washington
Pasajes populares
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.