Laws Relating to Securities Commission, Exchanges and Holding Companies (with Indices) |
From inside the book
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Page xi
... Subsection ( a ) of Section 17 of the Securities Exchange Act of 1934. Subsection 17 ( a ) now omits the language " every broker or dealer making or creating a market for both the purchase and sale of securities through the use of the ...
... Subsection ( a ) of Section 17 of the Securities Exchange Act of 1934. Subsection 17 ( a ) now omits the language " every broker or dealer making or creating a market for both the purchase and sale of securities through the use of the ...
Page xii
... Subsection 21 ( f ) is amended by inserting before the period the following : " or with any undertaking contained in a regis- tration statement as provided in subsection ( d ) of section 15 of this title " 8. Amendment to Subsection ( a ) ...
... Subsection 21 ( f ) is amended by inserting before the period the following : " or with any undertaking contained in a regis- tration statement as provided in subsection ( d ) of section 15 of this title " 8. Amendment to Subsection ( a ) ...
Page xiii
... subsection ( b ) ( 1 ) need not be satisfied .... ( 2 ) Provisions of paragraphs ( 2 ) to ( 9 ) , inclusive , of ... Subsection ( c ) of Section 15 of Securities Exchange Act , as amended , revised by this section 2 ... 162 8. Subsection ...
... subsection ( b ) ( 1 ) need not be satisfied .... ( 2 ) Provisions of paragraphs ( 2 ) to ( 9 ) , inclusive , of ... Subsection ( c ) of Section 15 of Securities Exchange Act , as amended , revised by this section 2 ... 162 8. Subsection ...
Page xvi
... subsection ( b ) ---- . ( d ) Elimination of certain duplication in case of unit investment trust ... ( f ) Termination of registration_ ( e ) Commission may request amendment , suspension , or revoca- tion of registration_ 9 ...
... subsection ( b ) ---- . ( d ) Elimination of certain duplication in case of unit investment trust ... ( f ) Termination of registration_ ( e ) Commission may request amendment , suspension , or revoca- tion of registration_ 9 ...
Page 9
... subsection ( a ) — ( 1 ) when a prospectus is used more than thirteen months after the effective date of the registration statement , the information in the statements contained therein shall be as of a date not more than twelve months ...
... subsection ( a ) — ( 1 ) when a prospectus is used more than thirteen months after the effective date of the registration statement , the information in the statements contained therein shall be as of a date not more than twelve months ...
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Common terms and phrases
amount application approval assets authority bank holding company broker or dealer centum Commission may prescribe contract corporation court creditors debtor debtor in possession directly or indirectly effective date face-amount certificate company filed indenture trustee instrumentality of interstate interstate commerce investment adviser investors or consumers issuer jurisdiction liability licensee mails March 15 means or instrumentality ment national securities exchange necessary or appropriate notice and opportunity obligor officer opportunity for hearing order thereunder otherwise pany paragraph payment petition prescribe as necessary prior proceeding protection of investors public interest public utility purchase purposes pursuant reasonable registered holding company registered investment company registration statement regulation thereunder regulations or order respect rule or regulation rules and regulations Securities Act Securities Exchange Act security issued senior securities specified Stat stockholders suant subsection subsidiary company thereof tion transaction unit investment trust United unlawful violation
Popular passages
Page 25 - ... 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 14 - If any provision of this Act, or the application of such provision to any person or circumstance, shall be held invalid, the remainder of this Act, or the application of such provision to persons or circumstances other than those as to which it is held invalid, shall not be affected thereby.
Page 13 - Commission or any member thereof or any officer designated by it, or in any cause or proceeding instituted by the 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; 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,...
Page 39 - ... months, unless such security was acquired in good faith in connection with a debt previously contracted, shall inure to and be recoverable by the issuer, irrespective of any intention on the part of such beneficial owner, director, or officer in entering into such transaction of holding the security purchased or of not repurchasing the security sold for a period exceeding six months.
Page 121 - 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 12 - Commission deems it necessary or desirable, of separate and/or consolidated balance sheets or income accounts of any person directly <or indirectly controlling or controlled by the issuer, or any person under direct or indirect common control with the issuer...
Page 356 - ... as a public debt transaction the proceeds from the sale of any securities issued under the Second Liberty Bond Act, as amended, and the purposes for which securities may be issued under that Act, as amended, are extended to include any purchase of such notes and obligations.
Page 90 - Commission shall be final, subject to review by the Supreme Court of the United States upon certiorari or certification as provided in sections 239 and 240 of the Judicial Code, as amended (USC, title 28, sees. 346 and 347...
Page 109 - Commission, upon filing with such schedule and delivering to the carrier or carriers affected thereby a statement in writing of its reasons for such suspension, may suspend the operation of such schedule and defer the use of such rate, fare, or charge, classification, regulation, or practice, but not for a longer period than one hundred and twenty days beyond the time when it would otherwise go into effect...
Page 119 - 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 evidence is material and that there were reasonable grounds for the failure to adduce such evidence in the proceeding before the Commission, the court may order such additional evidence to be taken before the Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper.