Laws Relating to Securities Commission, Exchanges and Holding CompaniesU.S. Government Printing Office, 1976 - Corporation law |
From inside the book
Results 1-5 of 94
Page xix
... fact or omission to state a material fact in registration statement or any report filed with Commission unlawful .. 252 ( a ) Wilful destruction , mutilation , or alteration of certain accounts and papers unlawful ......... . 252 252 ...
... fact or omission to state a material fact in registration statement or any report filed with Commission unlawful .. 252 ( a ) Wilful destruction , mutilation , or alteration of certain accounts and papers unlawful ......... . 252 252 ...
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... fact or omits to state any material fact required to be stated therein or necessary to make the statements therein not misleading , the Com- mission may , after notice by personal service or the sending of confirmed telegraphic notice ...
... fact or omits to state any material fact required to be stated therein or necessary to make the statements therein not misleading , the Com- mission may , after notice by personal service or the sending of confirmed telegraphic notice ...
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... facts , if supported by evidence , shall be conclusive . 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 evi- dence is material and ...
... facts , if supported by evidence , shall be conclusive . 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 evi- dence is material and ...
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... fact or omitted to state a material fact required to be stated therein or necessary to make the statements thereín not misleading , any person acquiring such security ( unless it is proved that at the 78-920 O - 76-3 time of such ...
... fact or omitted to state a material fact required to be stated therein or necessary to make the statements thereín not misleading , any person acquiring such security ( unless it is proved that at the 78-920 O - 76-3 time of such ...
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... fact he forthwith acted and advised the Commission , in accord- ance with paragraph ( 1 ) , and , in addition , gave reasonable public notice that such part of the registration statement had become effective without his knowledge ; or ...
... fact he forthwith acted and advised the Commission , in accord- ance with paragraph ( 1 ) , and , in addition , gave reasonable public notice that such part of the registration statement had become effective without his knowledge ; or ...
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Common terms and phrases
affiliated amount application approval assets authority bank holding company broker or dealer centum Commission may prescribe contract corporation court creditors debtor debtor in possession deems necessary directly or indirectly directors effective date face-amount certificate company Federal Reserve Board filed indenture trustee instrumentality of interstate interstate commerce investment adviser investors or consumers issuer jurisdiction liability licensee mails means or instrumentality national securities exchange necessary or appropriate notice and opportunity obligor officer opportunity for hearing order thereunder otherwise pany paragraph payment person petition prescribe as necessary prior proceeding prospectus protection of investors public interest public utility public-utility company purchase purposes pursuant reasonable registered holding company registration statement regulations or order regulations thereunder respect rule or regulation rules and regulations Securities Act security issued specified stockholders suant subsection subsidiary company thereof therein tion transactions underwriter unit investment trust United unlawful violation
Popular passages
Page 15 - Board, on the ground that the testimony or evidence 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 self-incrimination, to testify or produce evidence, except that such individual so testifying shall not be exempt from prosecution and punishment for...
Page 45 - 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 63 - ... 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 123 - The District Courts of the United States, the Supreme Court of the District of Columbia, and the United States courts of any Territory or other place subject to the jurisdiction of the United States shall have exclusive jurisdiction of violations of this Act or...
Page 431 - Territory or other place subject to the jurisdiction of the United States, to enjoin such acts or practices, and upon a proper showing a permanent or temporary injunction or restraining order shall be; granted without bond.
Page 42 - This subsection shall not be construed to cover any transaction where such beneficial owner was not such both at the time of the purchase and sale, or the sale and purchase, of the security involved, or any transaction or transactions which the Commission by rules and regulations may exempt as not comprehended within the purpose of this subsection.
Page 119 - Congress and to submit therewith recommendations for additional legislation; and to provide for the publication of its reports and decisions in such form and manner as may be best adapted for public information and use.
Page 299 - Commission with respect to registration, any statement which was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact...
Page 47 - 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 275 - ... (1) to make use of any means or instruments of transportation or communication in interstate commerce or of the mails to sell such security through the use or medium of any prospectus or otherwise; or (2) to carry or cause to be carried through the mails or in interstate commerce, by any means or instruments of transportation, any such security for the purpose of sale or for delivery after sale.