Decisions and Reports, Volume 9U.S. Government Printing Office, 1943 - Securities |
From inside the book
Results 1-5 of 100
Page 4
... further condition that no fee be paid White , Weld & Company until further order of the Commission . By the Commission : ( Chairman Frank and Commissioners Healy , Eicher , Henderson and Pike . ) 9 S. E. C. [ No. 1287 ] IN THE MATTER OF ...
... further condition that no fee be paid White , Weld & Company until further order of the Commission . By the Commission : ( Chairman Frank and Commissioners Healy , Eicher , Henderson and Pike . ) 9 S. E. C. [ No. 1287 ] IN THE MATTER OF ...
Page 14
... Further , it appears that such compensation is not out of line with other recent sales to the public of common stock which are in any way comparable to this transaction . Again , such a comparison may be of little value inasmuch as ...
... Further , it appears that such compensation is not out of line with other recent sales to the public of common stock which are in any way comparable to this transaction . Again , such a comparison may be of little value inasmuch as ...
Page 56
... order making The Hartford Gas Company a respondent in this proceeding ( Holding Company Act Release No. 2650 ) . of and order for hearing . The respondents further requested 9 S. E. C. 56 SECURITIES AND EXCHANGE COMMISSION.
... order making The Hartford Gas Company a respondent in this proceeding ( Holding Company Act Release No. 2650 ) . of and order for hearing . The respondents further requested 9 S. E. C. 56 SECURITIES AND EXCHANGE COMMISSION.
Page 57
... further requested that they be informed by the Commission as to what action the Commission tentatively believed would be required by Section 11 ( b ) ( 1 ) of the Act . On May 23 , 1940 , the Commission in its opinion issued on that ...
... further requested that they be informed by the Commission as to what action the Commission tentatively believed would be required by Section 11 ( b ) ( 1 ) of the Act . On May 23 , 1940 , the Commission in its opinion issued on that ...
Page 65
... further proceedings result in the determination that UGI's interest in Hartford Gas is merely an investment , we hold that such an investment may be retained only if the standards of the " other businesses " clauses of Section 11 ( b ) ...
... further proceedings result in the determination that UGI's interest in Hartford Gas is merely an investment , we hold that such an investment may be retained only if the standards of the " other businesses " clauses of Section 11 ( b ) ...
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Common terms and phrases
acquisition American applicant's assets Bond and Share Boston Stock Exchange capital surplus Chairman Eicher Columbia Gas Columbia Oil Commission Commissioners Healy common stock debentures debt December 31 declarant depreciation reserve directors dividends earned surplus Electric Company exemption filed Gas and Electric Gas Company Holding Company Act holding company system income integrated public utility issue issuer Light Company mortgage bonds Ogden Corporation outstanding Panhandle Eastern pany par value percent Power & Light Power Company preferred stock principal amount pro forma proceeding protection of investors public interest Public Service Company Public Utility Holding public utility system purchase pursuant to Section registered holding company reorganization requirements respect respondents Rule Section 11 Securities Exchange Act Standard Gas Stock Exchange stockholders subsidiary companies Terre Haute thereof tion trustee underwriter unlisted trading privileges utility company Utility Holding Company voting Wisconsin York Curb Exchange York Stock Exchange
Popular passages
Page 223 - ... from engaging in or continuing any conduct or practice in connection with any such activity, or in connection with the purchase or sale of any security...
Page 319 - No broker or dealer shall make use of the mails or of any means or instrumentality of interstate commerce to effect any transaction in, or to induce or attempt to induce the purchase or sale of, any security (other than an exempted security or commercial paper, bankers...
Page 753 - ... (2) in case of the acquisition of securities or utility assets, the consideration, including all fees, commissions, and other remuneration, to whomsoever paid, to be given, directly or indirectly, in connection with such acquisition is not reasonable or does not bear a fair relation to the sums invested in or the earning capacity of the utility assets to be acquired or the utility assets underlying the securities to be acquired...
Page 246 - sell" includes every contract of sale of, contract to sell, or disposition of, a security or interest in a security for value; (2) "Offer" or "offer to sell" includes every attempt or offer to dispose of, or solicitation of an offer to buy, a security or interest in a security for value...
Page 610 - ... take such steps as the Commission shall find necessary to ensure that the corporate structure or continued existence of any company In the holdingcompany system does not unduly or unnecessarily complicate the structure, or unfairly or inequitably distribute voting power among security holders, of such holdingcompany system.
Page 782 - There is, of course, no more persuasive evidence of the purpose of a statute than the words by which the legislature undertook to give expression to its wishes.
Page 682 - That the Commission hereby created shall have authority to inquire into the management of the business of all common carriers subject to the provisions of this act, and shall keep itself informed as to the manner and method in which the same is conducted...
Page 400 - ... per centum or more of whose outstanding voting securities are directly or indirectly owned, controlled, or held with power to vote, by such other...
Page 243 - ... possessing all the rights, privileges, powers and franchises as well of a public as of a private nature, and being subject to all the restrictions, disabilities and duties of each of such corporations so consolidated...
Page 249 - ... such a controlling influence over the management or policies of any public-utility or holding company as to make it necessary or appropriate in the public interest or for the protection of investors or consumers that the applicant be subject to the obligations, duties, and liabilities imposed in this title upon holding companies.