Annual Report of the SEC.U.S. Government Printing Office, 1963 |
Dentro del libro
Resultados 6-10 de 100
Página 34
... respect to such securities 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 . The statute imposes a maximum limitation of ...
... respect to such securities 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 . The statute imposes a maximum limitation of ...
Página 39
... respects to the general exemption provided by Regulation A , requires the filing of a notifica- tion with the Commission ... respect to the issuer , its management , principal security holders , recent and proposed assessments and other ...
... respects to the general exemption provided by Regulation A , requires the filing of a notifica- tion with the Commission ... respect to the issuer , its management , principal security holders , recent and proposed assessments and other ...
Página 40
... respect to trading by directors , officers and principal security holders . The Act also provides for the registration and regulation of brokers and dealers doing business in the over - the- counter market , contains provisions designed ...
... respect to trading by directors , officers and principal security holders . The Act also provides for the registration and regulation of brokers and dealers doing business in the over - the- counter market , contains provisions designed ...
Página 57
... respect to transactions not comprehended within the purpose of these provisions , but is not charged with the enforcement of the civil remedies created thereby . REGULATION OF PROXIES Scope of Proxy Regulation Under Sections 14 ( a ) of ...
... respect to transactions not comprehended within the purpose of these provisions , but is not charged with the enforcement of the civil remedies created thereby . REGULATION OF PROXIES Scope of Proxy Regulation Under Sections 14 ( a ) of ...
Página 79
... respect particularly to a practice of sales to such accounts primarily of new issues at a time when they are being quoted or sold above the offering price ( so - called " hot issues " ) , and therefore may be resold at a profit , the ...
... respect particularly to a practice of sales to such accounts primarily of new issues at a time when they are being quoted or sold above the offering price ( so - called " hot issues " ) , and therefore may be resold at a profit , the ...
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Términos y frases comunes
action amendments American Stock Exchange amicus curiae amount Annual Report appeal filed application appointment assets Association bonds broker broker-dealer Closed Commission's common stock Complaint and request Complaint filed consent entered Corp dealers defendants entered directors dismissed district court effective ended June 30 Exchange Act Release exemption Final judgment fiscal fiscal year ended funds Holding Company Holding Company Act investment adviser Investment Company Act investors issuer issues judgment by consent July June 13 June 30 ment million Mines NASD national securities exchange offering Order entered Pending percent petition preferred stock Preliminary injunction principal proceedings proposed provisions proxy receiver filed registration statement Regulation remaining defendant Rule Securities Act Securities Exchange Act security holders Sept Southern District staff stockholders subsidiaries suspended tion Title 18 Total transactions Trust U.S.C. Secs underwriter violations York Stock Exchange
Pasajes populares
Página 99 - Department of the Wharton School of Finance and Commerce of the University of Pennsylvania.
Página 60 - 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 109 - ... 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 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 59 - Every person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of any equity security (other than an exempted security) which is registered on a national securities exchange, or who is a director or an officer of the issuer of such security...
Página 36 - 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...
Página 41 - A corporation which is licensed to operate as a small business investment company under the Small Business Investment Act Of 1958 (15 USC Ch.
Página 66 - The 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 194 - 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 2 - Region 5. Oklahoma, Arkansas, Texas, that part of Louisiana lying west of the Atchafalaya River, and Kansas (except Kansas City)— Regional Administrator, 503 US Court House, 10th and Lamar Streets, Fort Worth.