Laws Relating to Securities Commission, Exchanges and Holding CompaniesU.S. Government Printing Office, 1941 |
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Laws Relating to Securities Commission, Exchanges and Holding Companies United States Vista completa - 1976 |
Laws Relating to Securities Commission, Exchanges and Holding Companies United States Vista completa - 1944 |
Laws Relating to Securities Commission, Exchanges and Holding Companies United States Vista completa - 1973 |
Términos y frases comunes
affiliated person amended amount application approval assets authority broker or dealer centum Commission may prescribe contract corporation court creditors debtor debtor in possession directly or indirectly District of Columbia effective date face-amount certificate company filed indenture trustee instrumentality of interstate interstate commerce investment adviser investors or consumers issuer jurisdiction liability licensee mails March 15 means or instrumentality ment national securities exchange necessary or appropriate obligor officer opportunity for hearing order thereunder otherwise pany paragraph payment petition prescribe as necessary prior proceeding protection of investors public interest public utility purchase purposes pursuant reasonable registered company registered holding company registered investment company registration statement regulations or order regulations thereunder respect rule or regulation rules and regulations Securities Act securities issued senior securities specified stockholders suant subsection subsidiary company thereof tion transaction treasury stock unit investment trust United unlawful violation
Pasajes populares
Página 263 - 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 general, any interest or instrument commonly known as a 'security', or any certificate...
Página 92 - Commission under this title may obtain a review of such order in the circuit court of appeals of the United States within any circuit wherein such person resides or has his principal place of business, or in the United States Court of Appeals for the District of Columbia, by filing in such court, within sixty days after the entry of such order, a written petition praying that the order of the Commission be modified or set aside in whole or in part.
Página 118 - 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; but no individual shall be prosecuted or subjected to any penalty or forfeiture for or on account of any transaction, matter, or thing concerning which he is compelled, after having claimed his privilege against self-incrimination...
Página 8 - If either party shall apply to the court for leave to adduce additional evidence, and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for failure to adduce such evidence in the hearing before the Commission, the court may order such additional evidence to be taken before the Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper.
Página 8 - The Commission may modify its findings as to the facts, or make new findings, by reason of the additional evidence so taken, and it shall file such modified or new findings, which, if supported by evidence, shall be conclusive, and its recommendation, if any, for the modification or setting aside of its original order, with the return of such additional evidence.
Página 27 - ... 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 48 - The judgment and decree of the court affirming, modifying, or setting aside, in whole or in part, any such order of the Commission shall be final, subject to review by the Supreme Court of the United States upon certiorari or certification as provided in sections 239 and 240 of the Judicial Code, as amended (USC, title 28, sees. 346 and 347...
Página 95 - If any provision of this Act, or the application of such provision to any person or circumstances, shall be held invalid, the remainder of the Act, and the application of such provision to persons or circumstances other than those as to which it is held invalid, shall not be affected.
Página 257 - Territorial courts, of all suits in equity and actions at law brought to enforce any liability or duty created by, or to enjoin any violation of, this title or tile rules, regulations, or orders thereunder.
Página 15 - Board, on the ground that the testimony or evidence required of him may tend to incriminate him or subject him to a penalty or forfeiture; but no individual shall be prosecuted or subjected to any penalty or forfeiture for or on account of any transaction, matter, or thing concerning which he is compelled, after having claimed his privilege against self-incrimination, to testify or produce evidence, except that such individual so testifying shall not be exempt from prosecution and punishment for...