District of Columbia Securities Act: Hearings...88-2...March 5, 19, and April 29, 19641964 - 131 páginas |
Dentro del libro
Resultados 1-5 de 26
Página 1
... unless the context otherwise requires : ( a ) " Agent " means any individual other than a broker - dealer who represents a broker - dealer or issuer in effecting or attempting to effect purchases or sales of securities . " Agent " does ...
... unless the context otherwise requires : ( a ) " Agent " means any individual other than a broker - dealer who represents a broker - dealer or issuer in effecting or attempting to effect purchases or sales of securities . " Agent " does ...
Página 4
... unless he is effectively licensed under this Act . ( b ) It shall be unlawful for any broker - dealer or issuer to employ an agent unless the agent is effectively licensed under this Act . The license of an agent shall not be effective ...
... unless he is effectively licensed under this Act . ( b ) It shall be unlawful for any broker - dealer or issuer to employ an agent unless the agent is effectively licensed under this Act . The license of an agent shall not be effective ...
Página 6
... unless that order was based on facts which would currently constitute a ground for an order under this section ; ( 7 ) has engaged in fraudulent practices in the securities business or while acting in any fiduciary capacity ; ( 8 ) is ...
... unless that order was based on facts which would currently constitute a ground for an order under this section ; ( 7 ) has engaged in fraudulent practices in the securities business or while acting in any fiduciary capacity ; ( 8 ) is ...
Página 7
... unless the proceeding is instituted within the next thirty days . ( b ) The following provisions shall govern the application of section 10 ( a ) ( 9 ) : ( 1 ) The Commission may not enter an order against a broker - dealer on the basis ...
... unless the proceeding is instituted within the next thirty days . ( b ) The following provisions shall govern the application of section 10 ( a ) ( 9 ) : ( 1 ) The Commission may not enter an order against a broker - dealer on the basis ...
Página 9
... unless the nonseller who shall be so liable sustains the burden of proof that he did not know , and in the exercise of reason- able care could not have known , of the existence of the facts by reason of which the liability is alleged to ...
... unless the nonseller who shall be so liable sustains the burden of proof that he did not know , and in the exercise of reason- able care could not have known , of the existence of the facts by reason of which the liability is alleged to ...
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.