Regulating the Sale of Securities: Hearing...88-1...May 2, 1963 |
From inside the book
Results 1-5 of 42
Page 6
... experience , and knowledge of the securities business , except as otherwise provided in subsection ( b ) . The Commission may by order deny , suspend . or revoke any license if it finds that the order is in the public interest and that ...
... experience , and knowledge of the securities business , except as otherwise provided in subsection ( b ) . The Commission may by order deny , suspend . or revoke any license if it finds that the order is in the public interest and that ...
Page 7
... experience if the applicant or licensee is qualified by training or knowledge or both . ( 3 ) The Commission shall consider that an agent who will work under the supervision of a licensed broker - dealer need not have the same ...
... experience if the applicant or licensee is qualified by training or knowledge or both . ( 3 ) The Commission shall consider that an agent who will work under the supervision of a licensed broker - dealer need not have the same ...
Page 17
... experience was drawn that went into the drafting of the bill . Besides myself , the committee consisted of Mr. Irving Bryan- Mr. ABERNETHY . I think we can read that rather rapidly , and sup- pose you pass over it . I don't want to ...
... experience was drawn that went into the drafting of the bill . Besides myself , the committee consisted of Mr. Irving Bryan- Mr. ABERNETHY . I think we can read that rather rapidly , and sup- pose you pass over it . I don't want to ...
Page 20
... experience with the problem is not highly developed . Differences of view exist among lawyers and securities men as to how variable annuities can best be regulated . The provisions of this bill regarding variable annuities represent an ...
... experience with the problem is not highly developed . Differences of view exist among lawyers and securities men as to how variable annuities can best be regulated . The provisions of this bill regarding variable annuities represent an ...
Page 22
... experience of any State nearby which has gone through the legislative drafting and regulations experience in the last couple of years in the securities field . And Mr. Miller would probably have lived through necessary problems within ...
... experience of any State nearby which has gone through the legislative drafting and regulations experience in the last couple of years in the securities field . And Mr. Miller would probably have lived through necessary problems within ...
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.