Annual Report of the SEC.U.S. Government Printing Office, 1967 |
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Resultados 1-5 de 32
Página 9
... Prior to this request , Exchange Rule 394 prohibited all off - board transactions in listed securities , whether effected on a principal or agency basis , unless exempted by the Exchange . The net effect of the rule was to restrict the ...
... Prior to this request , Exchange Rule 394 prohibited all off - board transactions in listed securities , whether effected on a principal or agency basis , unless exempted by the Exchange . The net effect of the rule was to restrict the ...
Página 11
... prior to a security holders ' meeting and to file with the Commission an information statement containing information substantially equivalent to that which would be required in a proxy statement.1 Exemptions From Registration Section ...
... prior to a security holders ' meeting and to file with the Commission an information statement containing information substantially equivalent to that which would be required in a proxy statement.1 Exemptions From Registration Section ...
Página 14
... prior obligation . Reg- istration of a class of securities under Section 12 ( g ) would not affect the reporting requirements of these companies or subject them to any further provision of the Act , and the exemption thus serves only to ...
... prior obligation . Reg- istration of a class of securities under Section 12 ( g ) would not affect the reporting requirements of these companies or subject them to any further provision of the Act , and the exemption thus serves only to ...
Página 15
... Prior to the 1964 amendments , brokers and dealers registered with the Commission who were not members of the National Association of Securities Dealers , Inc. ( " NASD " ) , or of one of the principal ex- changes , were not subject to ...
... Prior to the 1964 amendments , brokers and dealers registered with the Commission who were not members of the National Association of Securities Dealers , Inc. ( " NASD " ) , or of one of the principal ex- changes , were not subject to ...
Página 17
... prior to the effective date of the rule , a record containing the above information must be made and kept current . Where a customer has delegated discretionary authority to the broker - dealer or any associated person , the broker ...
... prior to the effective date of the rule , a record containing the above information must be made and kept current . Where a customer has delegated discretionary authority to the broker - dealer or any associated person , the broker ...
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Términos y frases comunes
32nd Annual Report action activities aggregate amended American Stock Exchange amicus curiae amount anti-fraud provisions application assets associated persons Bank bonds broker-dealer brokers and dealers capital Chapter Commis Commission Commission's common stock Company Act Release Court of Appeals debtor decision defendants directors disclosure district court dollar effective Exchange Act Release exemption filed firm fiscal fiscal year 1967 foreign Holding Company Holding Company Act indictment investigation investment advisers Investment Company Act involved issues June 30 ment million mutual fund NASD national securities exchange Northeast Utilities offering over-the-counter pany participated pending percent principal proceedings proposed proxy purchase regional offices registration statements Regulation reorganization rules Section 12(g Securities Act Securities Exchange Act securities laws security holders share volume shareholders sion staff stockholders subsidiaries suspended tion Total transactions trustee Unit investment trust unlisted trading privileges Utilities violations York Stock Exchange
Pasajes populares
Página 115 - ... 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 42 - 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 30 - 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 ix - 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 105 - ... is engaged or proposes to engage in the business of investing, reinvesting, owning, holding, or trading in securities...
Página 31 - ... 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 25 - Sec. 8. (a) Except as hereinafter provided, the effective date of a registration statement shall be the twentieth day after the filing thereof or such earlier date as the Commission may determine, having due regard to the adequacy of the information respecting the issuer theretofore available to the public, to the facility with which the nature of the securities to be registered, their relationship to the capital structure of the issuer and the rights of holders thereof can be understood, and to...
Página 31 - The Commission may from time to time by its rules and regulations, and subject to such terms and conditions as may be prescribed...
Página 1 - Department of the Wharton School of Finance and Commerce of the University of Pennsylvania.
Página 63 - A security registered with a national securities exchange may be withdrawn or stricken from listing and registration in accordance with the rules of the exchange and, upon such terms as the Commission may deem necessary to impose for the protection of investors...