Regulating the Sale of Securities: Hearing...88-1...May 2, 1963 |
From inside the book
Results 1-5 of 41
Page 2
... Service Commission of the District of Columbia as so designated by section 201 of title II of this Act ; ( d ) " District " means the District of Columbia , either as a territorial area as defined in the first section of the Revised ...
... Service Commission of the District of Columbia as so designated by section 201 of title II of this Act ; ( d ) " District " means the District of Columbia , either as a territorial area as defined in the first section of the Revised ...
Page 4
... service of process pursuant to section 15 ( f ) of this Act . The application shall contain a statement of- ( 1 ) the applicant's form and place of organization ; ( 2 ) the applicant's proposed method of doing business ; ( 3 ) the ...
... service of process pursuant to section 15 ( f ) of this Act . The application shall contain a statement of- ( 1 ) the applicant's form and place of organization ; ( 2 ) the applicant's proposed method of doing business ; ( 3 ) the ...
Page 9
... SERVICE OF PROCESS SEC . 15. ( a ) Sections 3 , 4 ( a ) , 6 , and 14 shall apply to persons who sell or offer to sell when ( 1 ) an offer to sell is made in the District , or ( 2 ) any offer to buy is made and accepted in the District ...
... SERVICE OF PROCESS SEC . 15. ( a ) Sections 3 , 4 ( a ) , 6 , and 14 shall apply to persons who sell or offer to sell when ( 1 ) an offer to sell is made in the District , or ( 2 ) any offer to buy is made and accepted in the District ...
Page 10
... Service may be made by leaving a copy of the process in the office of the Commission , but it shall not be effective unless ( 1 ) the plaintiff forthwith shall send notice of the service and a copy of the process by registered mail to ...
... Service may be made by leaving a copy of the process in the office of the Commission , but it shall not be effective unless ( 1 ) the plaintiff forthwith shall send notice of the service and a copy of the process by registered mail to ...
Page 12
... Service Commission of the District of Columbia under the provisions of the District of Columbia Securities Act . " SEVERABILITY SEC . 18. If any provision of this Act or the application thereof to any person or circumstance shall be ...
... Service Commission of the District of Columbia under the provisions of the District of Columbia Securities Act . " SEVERABILITY SEC . 18. If any provision of this Act or the application thereof to any person or circumstance shall be ...
Common terms and phrases
ABERNETHY ACHESON actuarial administration amended amount Annuity Life Insurance annuity payments application Association of Securities authority Better Business Bureau bill blue sky law broker broker-dealers and agents Bryan CALVERT Chairman committee definition of security District of Columbia dollars drafting effective employees equity Exchange Commission exempt Federal firms fixed-dollar annuities grantor guaranteed hearing insurance commissioner insurance companies insurance departments interest investors issued issuer KEITH language legislation liability license Maryland ment minimum capital mortality tables mutual funds NASD officers pany payable period person proceeding proposed protection Public Service Commission purchaser pursuant registration regulation regulatory reserves respect risk rule or order salesmen section 801 Securities and Exchange securities business Securities Dealers Securities Exchange segregated asset accounts SHAW specified SPRINGER statement statute surety bond term life insurance tion transactions U.S. attorney Uniform Act Uniform Securities Act United VALIC variable annuity contracts violation Washington
Popular passages
Page 5 - To make any untrue statement of a material fact or to omit 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...
Page 8 - For the purpose of any such investigation^ or any other proceeding under this title, any member of the Commission or any officer designated by it is empowered to administer oaths and affirmations, subpena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, or other records which the Commission deems relevant or material to the inquiry. Such attendance of witnesses and the production of any such records may be required from...
Page 9 - 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...
Page 68 - ... did not know, and in the exercise of reasonable care could not have known, of such untruth or omission...
Page 4 - Any security exchanged by the issuer with its existing security holders exclusively where no commission or other remuneration is paid or given directly or indirectly for soliciting such exchange...
Page 8 - The Commission may, in its discretion, make such investigations as it deems necessary to determine whether any person has violated or is about to violate...
Page 6 - In accordance with such rules and regulations or order as the Commission may deem necessary or appropriate in the public interest or for the protection of investors...
Page 48 - Commissioner or his successor in office to be his attorney to receive service of any lawful process in any non-criminal suit, action, or proceeding against him or his successor executor or administrator which arises under this Act or any rule or order hereunder after the consent has been filed, with the same force and validity as if served personally on the person filing the consent.
Page 99 - [a] word is not a crystal, transparent and unchanged, it is the skin of a living thought and may vary greatly in color and content according to the circumstances and the time in which it is used.
Page 11 - ... is filed in the case on or before the return day of the process, if any, or within such further time as the court allows.