Annual Report of the Securities and Exchange Commission, Volumen25U.S. Government Printing Office, 1959 |
Dentro del libro
Resultados 6-10 de 100
Página 86
... broker - dealer . Section 15A ( b ) ( 4 ) of the Securities Exchange Act of 1934 provides that in the absence of the Commission's approval or direction , no broker or dealer may be admitted to or continued in membership in a national ...
... broker - dealer . Section 15A ( b ) ( 4 ) of the Securities Exchange Act of 1934 provides that in the absence of the Commission's approval or direction , no broker or dealer may be admitted to or continued in membership in a national ...
Página 90
... dealer in a supervised capacity upon a proper showing . 35 Alan Russell Securities , Inc. - The Commission denied broker- dealer ... Securities Corporation . The Commission denied broker - dealer 90 SECURITIES AND EXCHANGE COMMISSION.
... dealer in a supervised capacity upon a proper showing . 35 Alan Russell Securities , Inc. - The Commission denied broker- dealer ... Securities Corporation . The Commission denied broker - dealer 90 SECURITIES AND EXCHANGE COMMISSION.
Página 91
... Securities , Inc. - This broker - dealer registration was re- voked by the Commission on findings of fraud in the sale of securities , sales of unregistered securities , making of false records , failure to keep required records ...
... Securities , Inc. - This broker - dealer registration was re- voked by the Commission on findings of fraud in the sale of securities , sales of unregistered securities , making of false records , failure to keep required records ...
Página 93
... broker - dealer registra- tion of Keller based in part on the sale of securities to customers at prices not ... broker - dealers . In addition , Keller failed to comply with the net capital rule , to make and keep current required books ...
... broker - dealer registra- tion of Keller based in part on the sale of securities to customers at prices not ... broker - dealers . In addition , Keller failed to comply with the net capital rule , to make and keep current required books ...
Página 94
... securities . The Commission revoked the broker - dealer registration of J. H. Lederer Co. , Inc. , expelled regis- trant from membership in the National Association of Securities Dealers , Inc. and found Joseph Herbert Lederer a cause ...
... securities . The Commission revoked the broker - dealer registration of J. H. Lederer Co. , Inc. , expelled regis- trant from membership in the National Association of Securities Dealers , Inc. and found Joseph Herbert Lederer a cause ...
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Términos y frases comunes
accounting action aggregate amended American Stock Exchange amicus curiae amount Annual Report antifraud application assets billion bonds broker broker-dealer registration capital rule Commis Commission's common stock Company Act Release Complaint filed Corp Corporation dealer December 31 defendants denied directors disclose dismiss District Court Electric enjoined Exchange Act Release exemption fiscal Holding Company Act indictment investment adviser Investment Company Act issuers issues July June 15 June 30 ment Mines Limited motion NASD national securities exchange officers pany pending percent petition preferred stock proceedings proposed provisions proxy Public Utility Holding purchase pursuant registered holding company registrant's registration statement Regulation reorganization revocation Section section 11(b Securities Act Release Securities Exchange Act Sept shares sold Southern District stockholders subsidiaries suspension tion title 18 Total transactions Trust underwriter United States District Utility Holding Company violations York Stock Exchange
Pasajes populares
Página 141 - Department of the Wharton School of Finance and Commerce of the University of Pennsylvania.
Página 51 - Commission, or any officer designated by it, is empowered to administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, contracts, agreements, or other records which the Commission finds relevant or material to the inquiry.
Página 24 - Commission pursuant to section 13 or 15 (d) of the Securities Exchange Act of 1934...
Página 113 - Commission or within such shorter period of time as the Commission may determine.
Página 223 - material", when used to qualify a requirement for the furnishing of information as to any subject, limits the information required to those matters as to which an average prudent investor ought reasonably to be informed before purchasing the security registered.
Página 162 - Commission shall grant such application and issue such order of exemption if evidence establishes that — (1) the terms of the proposed transaction, including the consideration to be paid or received, are reasonable and fair and do not involve overreaching on the part of any person concerned...
Página 28 - 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 8 - 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 xi - 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 279 - Any security issued by a building and loan association, homestead association, savings and loan association, or similar institution, substantially all the business of which is confined to the making of loans to members (but the...