General Rules and Regulations and Forms Under the Public Utility Holding Company Act of 1935 ...U.S. Government Printing Office, 1937 |
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... Bankers Building , 105 West Adams St. , Chicago , Ill . 60603. Phone , Central 6-7390 . Branches , Room 1628 , Standard Building , 1370 Ontario Street , Cleveland , Ohio . 44113. Phone , 861-5939 . Room 1503 , Washington Boulevard ...
... Bankers Building , 105 West Adams St. , Chicago , Ill . 60603. Phone , Central 6-7390 . Branches , Room 1628 , Standard Building , 1370 Ontario Street , Cleveland , Ohio . 44113. Phone , 861-5939 . Room 1503 , Washington Boulevard ...
Página 22
... banker , unless such person or such investment banker is the beneficial owner of securities as specified in any of subparagraphs ( A ) to ( E ) above , or ( 2 ) to a representative of a trustee under a trust which was created primarily ...
... banker , unless such person or such investment banker is the beneficial owner of securities as specified in any of subparagraphs ( A ) to ( E ) above , or ( 2 ) to a representative of a trustee under a trust which was created primarily ...
Página 23
... banker , nor any investment banker with which such person has a financial connection , shall- ( A ) Act as broker with respect to , or shall otherwise trade or deal in , any security of any registered holding company or subsidiary ...
... banker , nor any investment banker with which such person has a financial connection , shall- ( A ) Act as broker with respect to , or shall otherwise trade or deal in , any security of any registered holding company or subsidiary ...
Página 24
... banker , unless such offi- cer or director and such investment banker shall enter into an agreement with such company , and file a copy thereof with the Commission , under- taking to comply with the conditions specified in subparagraph ...
... banker , unless such offi- cer or director and such investment banker shall enter into an agreement with such company , and file a copy thereof with the Commission , under- taking to comply with the conditions specified in subparagraph ...
Página 52
... banker , or banking associa- tion or firm " a bank or trust company if not more than 10 % of its total loans or discounts at the end of the preceding calendar year consisted of com- mercial loans or discounts , adpt . Mar. 22 , 1939 ...
... banker , or banking associa- tion or firm " a bank or trust company if not more than 10 % of its total loans or discounts at the end of the preceding calendar year consisted of com- mercial loans or discounts , adpt . Mar. 22 , 1939 ...
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Términos y frases comunes
Act with respect affiliate application or declaration approval associate company thereof Atchafalaya River become effective capital commercial banking Commis Commission company or subsidiary Corporation curities declaration or application dividends document earned surplus electric or gas exempt from section filed financial connection HCAR holders Holding Company Act indebtedness Indenture Trustee Initially adpt investment banker issuance or sale issuer July 14 July 26 junior stock ment mutual service company notice of proposal Obligor otherwise paragraph performing services person preferred stock property additions Public Utility Holding public-utility company public-utility or holding pursuant to section registered holding company reorganization Rule 94 rules and regulations sale of securities section 13 section 9 sell services or construction sion solicitation specified suant subpara subparagraph subsidiary company thereof subsidiary service companies subsidiary thereof system of accounts thereto thereunder tion unsecured debt utility assets Utility Holding Company
Pasajes populares
Página 19 - It shall be unlawful for any person to solicit or to permit the use of his or its name to solicit, by use of the mails or any means or instrumentality of interstate commerce, or otherwise, any proxy, power of attorney, consent, or authorization...
Página 34 - Commission the disclosure of such information would be in the public interest or the interest of investors or consumers, the information contained in any statement, application, declaration, report, or other document filed with the Commission shall be available to the public...
Página 17 - ... necessary or appropriate in the public interest or for the protection of investors or consumers to assure the maintenance of competitive conditions, the receipt of adequate consideration or the reasonableness of any fees or commissions to be paid with respect to sales of securities subject to section 12 (d) of the act.
Página 21 - ... all fees, expenses, and remuneration, to whomsoever paid, in connection with any reorganization, dissolution, liquidation, bankruptcy, or receivership of a registered holding company or subsidiary company thereof, in any such proceeding, shall be subject to approval by the Commission.
Página 3 - ... by such company it is not necessary in the public interest or for the protection of investors or consumers that such company be considered a gas utility company...
Página 15 - ... except pursuant to a declaration notifying the Commission of the proposed transaction, which has become effective In accordance with the procedure specified in § 250.23, and pursuant to the order of the Commission with respect to such declaration under the applicable provisions of the Act.
Página 34 - Commission in the course of any examination or investigation shall, unless made a matter of public record, be deemed confidential. Officers and employees are hereby prohibited from making such confidential information or documents...
Página 33 - In relation to any corporation or other organization issuing stock or similar securities, any person who, directly or indirectly, owns, controls, or holds with power to vote, 10 percent or more of the outstanding voting securities thereof.
Página 16 - Transactions approved by a reorganization court. Any such subsidiary company which is the subject of a proceeding for reorganization In any court of the United States in which proceeding the Commission has filed a notice of appearance pursuant to section 208 of Chapter X of the Bankruptcy Act, as amended (52 Stat.