Laws Relating to Securities Commission, Exchanges and Holding CompaniesU.S. Government Printing Office, 1976 - Corporation law |
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Page 2
... respect to certificates of deposit , voting - trust certificates , or collateral - trust certificates , or with respect to certificates of interest or shares in an unincorporated investment trust not having a board of directors ( or ...
... respect to certificates of deposit , voting - trust certificates , or collateral - trust certificates , or with respect to certificates of interest or shares in an unincorporated investment trust not having a board of directors ( or ...
Page 7
... respect , the Commission may , after notice by personal service or the sending of confirmed telegraphic notice not later than ten days after the filing of the registration statement , and opportunity for hearing ( at a time fixed by the ...
... respect , the Commission may , after notice by personal service or the sending of confirmed telegraphic notice not later than ten days after the filing of the registration statement , and opportunity for hearing ( at a time fixed by the ...
Page 10
... respect to the statement in such registration statement , report , or valuation , which purports to have been prepared or certified by him ; ( 5 ) every underwriter with respect to such security . ( b ) Notwithstanding the provisions of ...
... respect to the statement in such registration statement , report , or valuation , which purports to have been prepared or certified by him ; ( 5 ) every underwriter with respect to such security . ( b ) Notwithstanding the provisions of ...
Page 11
... respect to the security after the part of the registration statement with respect to which his liability is asserted has become effective , then for the pur- poses of paragraph ( 3 ) of subsection ( b ) of this section such part of the ...
... respect to the security after the part of the registration statement with respect to which his liability is asserted has become effective , then for the pur- poses of paragraph ( 3 ) of subsection ( b ) of this section such part of the ...
Page 17
... respect to each other class , including the retirement and liquidation rights or values thereof ; ( 10 ) a statement of the securities , if any , covered by options out- standing or to be created in connection with the security to be ...
... respect to each other class , including the retirement and liquidation rights or values thereof ; ( 10 ) a statement of the securities , if any , covered by options out- standing or to be created in connection with the security to be ...
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Common terms and phrases
application approval assets authority bank holding company Board broker or dealer centum certificate clearing agency Commission may prescribe contract corporation court creditors debtor debtor in possession directly or indirectly directors face-amount certificate company Federal Reserve Board Federal Reserve System filed indenture securities indenture trustee instrumentality of interstate interstate commerce investment adviser investors or consumers issuer jurisdiction liability mails means or instrumentality national securities exchange necessary or appropriate notice and opportunity obligor officer opportunity for hearing otherwise pany paragraph payment prescribe as necessary proceeding protection of investors provisions public interest public-utility company purchase purposes pursuant reasonable registered investment company registration statement regulations thereunder respect rule or regulation rules and regulations Securities Act Securities Exchange Act security holders security issued self-regulatory organization SIPC specified Stat subsection tion transactions underwriter unit investment trust United unlawful violation voting securities
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.