SEC Legislation, Hearings Before a Subcommittee ...,86-1 on S.1178, S.1179, S.1180 ..., June15 ... 25,1959, Volumes 22-231959 - 640 pages |
From inside the book
Results 1-5 of 100
Page 7
... transactions in section 17 of the act , nor , with the exception of " governments , " from the civil liability pro- visions of section 12 ( 2 ) . Section 3 ( b ) of the act provides that the Commission may by rule and regulation , and ...
... transactions in section 17 of the act , nor , with the exception of " governments , " from the civil liability pro- visions of section 12 ( 2 ) . Section 3 ( b ) of the act provides that the Commission may by rule and regulation , and ...
Page 13
... transactions to establish a violation . One manipulative transaction , however , can affect the overall price as effectively as a series , where the price at which a large distribution is going to be made is keyed to the market price ...
... transactions to establish a violation . One manipulative transaction , however , can affect the overall price as effectively as a series , where the price at which a large distribution is going to be made is keyed to the market price ...
Page 34
... transaction has taken place if he doesn't file his report . Consequently , we could not give him notice of his ... transactions ; is that it ? Mr. GADSBY . Yes , sir . The statute requires the report to be filed . For example , an ...
... transaction has taken place if he doesn't file his report . Consequently , we could not give him notice of his ... transactions ; is that it ? Mr. GADSBY . Yes , sir . The statute requires the report to be filed . For example , an ...
Page 54
... transactions in securities as commonly con- ducted through securities exchanges and over - the - counter markets . By hypoth- esis there is no securities transaction involved in the front money racket - much less a securities transaction ...
... transactions in securities as commonly con- ducted through securities exchanges and over - the - counter markets . By hypoth- esis there is no securities transaction involved in the front money racket - much less a securities transaction ...
Page 76
... transactions in securities in contra- vention of such rules . As this section was originally introduced , the ... transactions creating an appearance of active trading or raising or depressing the price . It would substitute " one or ...
... transactions in securities in contra- vention of such rules . As this section was originally introduced , the ... transactions creating an appearance of active trading or raising or depressing the price . It would substitute " one or ...
Common terms and phrases
affiliated persons Alleghany Alleghany Corp Alleghany's approval assets association authority bill broker or dealer broker-dealer brokers and dealers carrier centum Chairman Commission's committee common stock Congress corporation court directors effective date Exchange Commission exemption face-amount certificate company filed injunction Interstate Commerce Act Interstate Commerce Commission Investment Advisers Act Investment Company Act investment counsel issuance issuer Jeffersonville jurisdiction LOOMIS national securities exchange necessary or appropriate officers outstanding pany paragraph percent preferred stock prescribe principal underwriter proceeding prohibit proposed amendment protection of investors public interest purchase pursuant railroad registered investment company registration statement reports respect rule or regulation rules and regulations section 15 section 8(b Securities Act Securities and Exchange Securities Exchange Act Senator BUSH Senator WILLIAMS specific statute stockholders suspend thereof thereunder tion trading transactions trustee unit investment trust unlawful violation withdrawal York Central York Stock Exchange
Popular passages
Page 524 - It is hereby declared to be the national transportation policy of the Congress to provide for fair and impartial regulation of all modes of transportation subject to the provisions of this Act, so administered as to recognize and preserve the Inherent advantages of each; to promote safe, adequate, economical, and efficient service and foster sound economic conditions in transportation and among the several carriers...
Page 494 - security' means any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas or other mineral rights or, in general, any interest or instrument commonly known as a 'security', or any certificate...
Page 452 - Commission under this title may obtain a review of such order in the circuit court of appeals of the United States within any circuit wherein such person resides or has his principal place of business, or in the United States Court of Appeals for the District of Columbia, by filing in such court, within sixty days after the entry of such order, a written petition praying that the order of the Commission be modified or set aside in whole or in part.
Page 264 - ... (1) to employ any device, scheme, or artifice to defraud, or (2) to obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading, or (3) to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser.
Page 499 - Commission shall be final, subject to review by the Supreme Court of the United States upon certiorari or certification as provided in sections 239 and 240 of the Judicial Code, as amended. (b) The commencement of proceedings under subsection (a) shall not, unless specifically ordered by the court, operate as a stay of the Commission's order.
Page 266 - Commission, on the ground that the testimony or evidence, documentary or otherwise, required of him, may tend to incriminate him or subject him to a penalty or forfeiture; but no individual shall be prosecuted or subjected to any penalty or forfeiture for or on account of any transaction, matter, or thing concerning which he is compelled, after having claimed his privilege against selfincrimination...
Page 259 - If either party shall apply to the court for leave to adduce additional evidence and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for...
Page 318 - Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper. The Commission may modify its findings as to the facts or make new findings, by reason of the additional evidence so taken...
Page 318 - The judgment and decree of the court affirming, modifying, or setting aside, in whole or in part, any such order of the Commission shall be final, subject to review by the Supreme Court of the United States upon certiorari or certification as provided in sections 239 and 240 of the Judicial Code, as amended (USC, title 28, sees. 346 and 347...
Page 263 - ... he did not know, and in the exercise of reasonable care could not have known, of such untruth or omission...