Additional Consumer Protection in Corporate Takeovers and Increasing the Securities Act Exemptions for Small Businessmen: Hearing Before the Subcommittee on Securities of the Committee on Banking and Currency, United States Senate, Ninety-first Congress, Second Session, on S. 336, a Bill to Amend Section 3 (b) of the Securities Act of 1933 to Permit the Exemption of Security Issues, Not Exceeding $500,000 in Aggregate Amount, from the Provisions of Such Act [and] S. 3431, a Bill to Extend the Coverage of Sections 13 (d), 14 (d), and 14 (e) of the Securities Exchange Act of 1934 in Order to Provide Additional Protection for Investors, March 25, 1970 |
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acquired acquisition amended amount Apache Corp bill BUDGE C. G. Conn cash tender offer Chairman Churchill Downs Committee CONGRESS THE LIBRARY copies Corp directors equity securities ESKIN Exchange Commission exchange offer exemption Federal Securities Act filed full disclosure funds Hamer H hearings Industries interests investment companies investors issuer July legislation LIBRARY OF CONGRES LIBRARY OF CONGRESS ment notification offered to purchase offering circular offering sheet offeror oil or gas outstanding shares percent person Piper Aircraft prior proposed protection proxy contest proxy fight public companies purchase a minimum purchase all shares purpose pursuant request or invitation Schedule 13D Section 13(d Securities Act Securities and Exchange Securities Exchange Act security holders Senator BENNETT Senator WILLIAMS Sept service of process shareholders specified stockholders Subcommittee target company tender offer thereof tion underwriter United States Securities WALBERT York Stock Exchange
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Page 14 - ... by means of a prospectus or oral communication, which includes an untrue statement of a material fact or omits to state a material fact necessary in order to make the statements in the light of the circumstances under which they were made, not misleading...
Page 14 - Schedule 13D, or by any person on his behalf, to make solicitations or recommendations to security holders and describe briefly the terms of such employment, retainer or arrangement for compensation. Item 8.
Page 14 - Secretary shall be taken and held in all Courts to be as valid and binding as if due service had been made upon said applicant in the State of Kentucky.
Page 14 - Every accountant, engineer, or appraiser, or any person whose profession gives authority to a statement made by him...
Page 14 - ... (1) any person who within ten years has been convicted of any felony or misdemeanor involving the purchase or sale of any security...
Page 14 - I certify that to the best of my knowledge and belief the information set forth in this statement is true, complete and correct. Date Signature...
Page 14 - ... guarantees against loss or guarantees of profits, division of losses or profits, or the giving or withholding of proxies.
Page 14 - ... (D) the number of shares of such security which are beneficially owned, and the number of shares concerning which there is a right to acquire, directly...