Regulating the Sale of Securities: Hearing...88-1...May 2, 1963 |
From inside the book
Results 1-5 of 65
Page 2
... interest in or a debt of , or guaranteed by , any bank organized under the laws of the United States . or any bank , savings institution , or trust company organized and supervised under the laws of any State ; ( 4 ) any commercial ...
... interest in or a debt of , or guaranteed by , any bank organized under the laws of the United States . or any bank , savings institution , or trust company organized and supervised under the laws of any State ; ( 4 ) any commercial ...
Page 3
... interest , or dividends . ( i ) " Issuer " means any person who issues or proposes to issue any security , except that- ( 1 ) with respect to certificates of deposit , voting - trust certificates , or collateral - trust certificates ...
... interest , or dividends . ( i ) " Issuer " means any person who issues or proposes to issue any security , except that- ( 1 ) with respect to certificates of deposit , voting - trust certificates , or collateral - trust certificates ...
Page 4
... interest or for the protection of investors . The Commission may by rule or order require an applicant for an initial license to publish an announcement of the application in one or more specified news- papers published in the District ...
... interest or for the protection of investors . The Commission may by rule or order require an applicant for an initial license to publish an announcement of the application in one or more specified news- papers published in the District ...
Page 5
... interest or for the protection of in- vestors and consistent with the purposes of this Act . The Commission may by rule prescribe a ratio between net capital and aggre- gate indebtedness . ( e ) The Commission may by rule require ...
... interest or for the protection of in- vestors and consistent with the purposes of this Act . The Commission may by rule prescribe a ratio between net capital and aggre- gate indebtedness . ( e ) The Commission may by rule require ...
Page 6
... interest and that the applicant or licensee or , in the case of a broker - dealer , any partner , officer , or director , any person occupying a similar status or performing similar functions , or any person directly or indirectly ...
... interest and that the applicant or licensee or , in the case of a broker - dealer , any partner , officer , or director , any person occupying a similar status or performing similar functions , or any person directly or indirectly ...
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.