SEC Reauthorization: Hearing Before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred First Congress, First Session, April 19, 1989, Volumen4U.S. Government Printing Office, 1989 - 262 páginas |
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activities addition Advisers Act alleged Amex amicus curiae annual reports approval arbitration bank brief argued broker-dealer budget cash-out CBOE certiorari Chairman Circuit Commerce Clause Commission believes Commission filed Commission's brief concerning Congress Corp corporate Court of Appeals disclosure district court Drexel EDGAR enforcement actions Exchange Act Release exemption federal securities laws fees firm fiscal fraud funds futures contracts holding company increase insider trading interest investment advisers investment company investors issuer issues junk bond legislation limited partnership litigation merger NASAA NASD Office options participation penny stock Phlx physical delivery program trading proposed rule changes registered regulatory request requirements RUDER Section 12 Securities Act Securities and Exchange Securities Exchange Act securities markets shareholders shares SROS staff statements statute statutory stock index subcommittee Supreme Court tender offer transactions underlying portfolio violations Williams Act WYDEN
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Página 198 - ... 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 198 - 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...
Página 105 - It shall be unlawful for any person in the offer or sale of any securities by the use of any means or instruments of transportation or communication in interstate commerce or by the use of the mails, directly or indirectly — (1) to employ any device, scheme, or artifice to defraud, or (2) to obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact necessary in order to make the statements made, in the light of the circumstances under...
Página 19 - 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. The Commission also serves as adviser to Federal courts in corporate reorganization proceedings under chapter X of the Bankruptcy Act.
Página 198 - Director" means any director of a corporation or any individual who performs similar functions in respect of any company. (16) "Security" means any note, draft, stock, treasury stock, bond, debenture, certificate of interest or participation in any profit-sharing agreement or in any oil, gas...
Página 105 - the Commission" shall mean the Commodity Futures Trading Commission established under section 4a of this title. The term "commodity trading advisor" shall mean any person who, for compensation or profit, engages in the business of advising others, either directly or through publications or writings, as to the value of...
Página 105 - Investment adviser" means any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as a part of a regular business, issues or promulgates analyses or reports concerning securities. "Investment adviser...
Página 217 - That, except as hereinabove provided, nothing contained in this section shall (i) supersede or limit the jurisdiction at any time conferred on the Securities and Exchange Commission or other regulatory authorities under the laws of the United States or of any State, or (ii) restrict the Securities and Exchange Commission and such other authorities from carrying out their duties and responsibilities in accordance with such laws.
Página 252 - The Honorable Edward J. Markey Chairman Subcommittee on Telecommunications and Finance Committee on Energy and Commerce US House of Representatives Washington, DC 20515 Dear Mr.
Página 109 - The Securities and Exchange Commission, as a matter of policy, disclaims responsibility for any private publication by any of its employees. The views expressed herein are those of the author and do not necessarily reflect the views of the Commission or of the author's colleagues upon the staff of the Commission.