Hearings, Reports and Prints of the Senate Committee on Banking and CurrencyU.S. Government Printing Office, 1959 - Banking law |
From inside the book
Results 1-5 of 100
Page
... section 15 , S. 1179___ . Memorandum on SEC proposals in S. 1178 and H.R. 5001 ... Memorandum on SEC proposals in S. 1179 and H.R. 2480_ Supplemental statement on S. 1179 . New York Central : Letter on modification of SEC amendments , S ...
... section 15 , S. 1179___ . Memorandum on SEC proposals in S. 1178 and H.R. 5001 ... Memorandum on SEC proposals in S. 1179 and H.R. 2480_ Supplemental statement on S. 1179 . New York Central : Letter on modification of SEC amendments , S ...
Page 13
... section will be changed , and to constitute a violation the activity must ... 15 of the act , brokers and dealers doing business otherwise than on an ... section 13 of the bill . The present law provides that the Commission shall , after ...
... section will be changed , and to constitute a violation the activity must ... 15 of the act , brokers and dealers doing business otherwise than on an ... section 13 of the bill . The present law provides that the Commission shall , after ...
Page 14
... section 15 ( b ) ; ( 2 ) a more workable procedure in denial pro- ceedings by authorizing the Commission , pending final determination , to postpone the effective date of registration for a period not to ex- ceed 90 days instead of the ...
... section 15 ( b ) ; ( 2 ) a more workable procedure in denial pro- ceedings by authorizing the Commission , pending final determination , to postpone the effective date of registration for a period not to ex- ceed 90 days instead of the ...
Page 15
... Section 6 of the bill would transfer to section 8 ( b ) of the statute the provisions relating to financial responsibility of broker- dealers which now appear in section 15 ( c ) ( 3 ) of the act , so that regulation under the new section ...
... Section 6 of the bill would transfer to section 8 ( b ) of the statute the provisions relating to financial responsibility of broker- dealers which now appear in section 15 ( c ) ( 3 ) of the act , so that regulation under the new section ...
Page 16
... 15 , 19 , and 20 with respect to the Commission's authority to suspend trading in a security . Section 19 ( a ) ( 4 ) authorizes the Commission under cer- tain circumstances summarily to suspend ... section 19 ( a ) 16 SEC LEGISLATION.
... 15 , 19 , and 20 with respect to the Commission's authority to suspend trading in a security . Section 19 ( a ) ( 4 ) authorizes the Commission under cer- tain circumstances summarily to suspend ... section 19 ( a ) 16 SEC LEGISLATION.
Contents
223 | |
234 | |
259 | |
269 | |
302 | |
509 | |
613 | |
615 | |
251 | |
288 | |
372 | |
386 | |
403 | |
464 | |
491 | |
514 | |
613 | |
vii | |
ix | |
1 | |
10 | |
12 | |
44 | |
51 | |
79 | |
125 | |
633 | |
665 | |
13 | |
70 | |
13 | |
20 | |
59 | |
87 | |
107 | |
161 | |
167 | |
1 | |
10 | |
16 | |
36 | |
62 | |
Other editions - View all
Common terms and phrases
affiliated person Alleghany Corp assets authority bill broker or dealer broker-dealer brokers and dealers centum Chairman Commission's committee corporation court directors effective date Exchange Commission exemption face-amount certificate face-amount certificate company Federal Savings filed holding company injunction Interstate Commerce Interstate Commerce Act Interstate Commerce Commission Investment Advisers Act Investment Company Act investment counsel issuer jurisdiction legislation liability Loan Association national securities exchange necessary or appropriate officers outstanding pany paragraph payment percent prescribe proceeding prohibit proposed amendment protection of investors provisions public interest purchase pursuant registered investment company registration statement respect rule or regulation rules and regulations Savings & Loan savings and loan section 15 Securities Act Securities and Exchange Securities Exchange Act Senator BUSH Senator WILLIAMS specific statute stockholders subsection thereof thereunder tion trading transactions trustee U.S. Senate unit investment trust unlawful violation withdrawal York Stock Exchange
Popular passages
Page 408 - ... security," or any certificate of interest or participation in, temporary or interim certificate for, receipt for, guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing.
Page 495 - 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 299 - 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 298 - Commission, there to produce records, if so ordered, or to give testimony touching the matter under investigation or in question; and any failure to obey such order of the court may be punished by such court as a contempt thereof.
Page 245 - 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 228 - 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 350 - Unless a registration statement is in effect as to a security, it shall be unlawful for any person directly or indirectly (1) to make use of any means or instruments of transportation or communication in interstate commerce or of the mails...
Page 299 - The judgment and decree of the court 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 233 - Underwriter" means any person who has purchased from an issuer with a view to, or sells for an issuer in connection with, the distribution of any security, or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in the direct or indirect underwriting of any such undertaking; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary distributors...
Page 494 - ... under the laws ,of any State or of the United States, a substantial portion of the business of which consists of receiving deposits or exercising fiduciary powers similar to those permitted to national banks under...