Hearings, Reports and Prints of the Senate Committee on Banking and Currency, Partes1-4U.S. Government Printing Office, 1940 |
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Página 59
... preferred stock , with dividend accumulations unpaid of $ 33 a share ; and 50,000 - odd shares of common stock . The common stock alone had the vote . The value of the common stock at that time , in October , after you allow for the ...
... preferred stock , with dividend accumulations unpaid of $ 33 a share ; and 50,000 - odd shares of common stock . The common stock alone had the vote . The value of the common stock at that time , in October , after you allow for the ...
Página 61
... preferred stock of the Fiscal Management Co. , Ltd. , and then , for the 29,000 shares of common stock , paid for out of the portfolio of Continental Securities Corporation , there comes into Continental Securities Corporation $ 700,000 ...
... preferred stock of the Fiscal Management Co. , Ltd. , and then , for the 29,000 shares of common stock , paid for out of the portfolio of Continental Securities Corporation , there comes into Continental Securities Corporation $ 700,000 ...
Página 63
... preferred stock - and right there Mr. Ross corrects me . I said the dividend arrears of Continental Securities Corporation preferred stock were $ 33 . They were $ 29 . There was outstanding 1,700,000 shares of common stock , the com ...
... preferred stock - and right there Mr. Ross corrects me . I said the dividend arrears of Continental Securities Corporation preferred stock were $ 33 . They were $ 29 . There was outstanding 1,700,000 shares of common stock , the com ...
Página 66
... preferred stock of Fiscal Management Co. , Ltd. , in the portfolio of Continental Securities Corporation , put there by the " looters . " During the course of a few months , in connection with another investment trust known as First ...
... preferred stock of Fiscal Management Co. , Ltd. , in the portfolio of Continental Securities Corporation , put there by the " looters . " During the course of a few months , in connection with another investment trust known as First ...
Página 74
... preferred stock for $ 500,000 in cash . Now , that meant that Insuranshares had given up five - eighths of all of ... preferred stock . But that is a pretty broad assumption , because the preferred stock had no voting power except in ...
... preferred stock for $ 500,000 in cash . Now , that meant that Insuranshares had given up five - eighths of all of ... preferred stock . But that is a pretty broad assumption , because the preferred stock had no voting power except in ...
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abuses affiliated person amount asset value bank believe bill board of directors bonds broker Byllesby capital certificate clients committee common stock contract dividends Exchange Commission existing face-amount certificate company fact firm Founders funds holding company industry investment adviser investment banker investment counsel investment trust issue issuer Judge Healy legislation Massachusetts Investors Trust matter ment company officers open-end companies operation organized outstanding panies percent portfolio practice preferred stock present president profits prohibition provision purchase question registered investment company rules and regulations SCHENKER Securities Act Securities and Exchange securities finance security holders sell Senator HUGHES Senator TAFT Senator WAGNER chairman senior securities shareholders shares situation sold Standard stockholders subcommittee thing tion transactions type of company underwriter unit investment trust voting trust York Stock Exchange
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Página 27 - ... 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 perjury committed in so testifying.
Página 26 - System, notwithstanding that such rule or regulation may, after such act or omission, be amended or rescinded or be determined by judicial or other authority to be invalid for any reason.
Página 34 - ... (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...
Página 116 - ... as to make it necessary or appropriate in the public interest or for the protection of investors or consumers that the applicant be subject to the obligations, duties, and liabilities imposed in this title upon subsidiary companies of holding companies.
Página 725 - ... to aid in the enforcement of the provisions of this title, in the prescribing of rules and regulations thereunder, or in obtaining information to serve as a basis for recommending further legislation concerning the matters to which this title relates.
Página 656 - director " means any director of a corporation or any person performing similar functions with respect to any organization, whether incorporated or unincorporated.
Página 178 - SEC. 326. Except as otherwise expressly provided, nothing in this title shall affect (1) the jurisdiction of the Commission under the Securities Act of 1933, or the Securities Exchange Act of 1934, or...
Página 111 - Public-utility company" means an electric utility company or a gas utility company. (6) "Commission" means the Securities and Exchange Commission. (7) "Holding company" means— (A) any company which directly or indirectly owns, controls, or holds with power to vote...
Página 246 - No provision of this title imposing any liability shall apply to any act done or omitted in good faith in conformity with any rule, regulation, or...
Página 33 - ... (1) any person who within ten years has been convicted of any felony or misdemeanor involving the purchase or sale of any security or arising out of such person's conduct as an underwriter, broker, dealer, or investment adviser...