Annual Report of the SEC.U.S. Government Printing Office, 1963 |
Dentro del libro
Página 61
... applications for fiscal 1962 . Effective registrations at close of preceding fiscal year- Applications pending at ... application for registration or document supplemental thereto ; ( 2 ) conviction within the previous 10 years of a ...
... applications for fiscal 1962 . Effective registrations at close of preceding fiscal year- Applications pending at ... application for registration or document supplemental thereto ; ( 2 ) conviction within the previous 10 years of a ...
Página 67
... application for registration to reflect changes of names or business address , caused revocation of the broker - dealer registrations of Robert Lee Long , 38 Howell , Kraft & Cummings , Inc. , 39 William Douglas Bradford , 1o Benjamin ...
... application for registration to reflect changes of names or business address , caused revocation of the broker - dealer registrations of Robert Lee Long , 38 Howell , Kraft & Cummings , Inc. , 39 William Douglas Bradford , 1o Benjamin ...
Página 75
... application on behalf of the petitioner . A See First California Company , infra , p . 78 . broker - dealer , however , may file an application TWENTY - EIGHTH ANNUAL REPORT 75 Commission review of NASD action on membership_.
... application on behalf of the petitioner . A See First California Company , infra , p . 78 . broker - dealer , however , may file an application TWENTY - EIGHTH ANNUAL REPORT 75 Commission review of NASD action on membership_.
Página 76
... application directly with the Com- mission either with or without Association sponsorship . The Com- mission reviews the record and documents filed in support of the application and , where appropriate , obtains additional relevant and ...
... application directly with the Com- mission either with or without Association sponsorship . The Com- mission reviews the record and documents filed in support of the application and , where appropriate , obtains additional relevant and ...
Página 77
... application . " 62 Commission Review of NASD Disciplinary Action Section 15A ( g ) of the Act provides that disciplinary actions by the NASD are subject to review by the Commission on its own motion or on the timely application of any ...
... application . " 62 Commission Review of NASD Disciplinary Action Section 15A ( g ) of the Act provides that disciplinary actions by the NASD are subject to review by the Commission on its own motion or on the timely application of any ...
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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.