...announced the formation of a study group within the Commission to examine the operation of the disclosure provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934, and the rales and regulations under both of these Acts. The study group in April 1969 submitted to the...

...examiner filed a recommended decision in which he concluded that Weston had willfully violated certain of the provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934, and that Assured Warranty Corporation had willfully violated the Investment Advisers Act of 1940. He recommended...

...has applied for registration, and both controlled by persons who had willfully violated anti-fraud provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934, and where the corporation is insolvent and has been enjoined from engaging in securities transactions,...

...toward her as principal at an undisclosed profit to himself was a willful violation of the anti-fraud provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934 and rules thereunder. Allender Company, Incorporated, 9 SEC 1043 (1941); William J. Stelmack Corporation,...

...dollars to American investors. The Securities Exchange Commission has done a wonderful job .of enforcing the provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934, and has forced the big private hanking houses and other originators of securities to make a complete disclosure...

...requirements of the Securities Act of 1933 and the Securities Exchange Act of 1934, we do oppose bills HR 6443 and S. 2636 insofar as the bills as presently drafted...question of dealing in the underwriting of securities anil obligations by the banks as expressly forbidden by section 5136 of the Revised Statutes and the...

...thus broaden the market for the bonds. It would also exempt securities issued or guaranteed by the bank from the provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934 and thus facilitate the distribution of those securities. The broadening of the market for the bank's bonds...

...thus broaden the markfet for the bonds. It would also exempt securities issued or guaranteed by the bank from the provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934 and thus facilitate the distribution of those securities. The broadening of the market for the bank's bonds...

...and broaden the market for such bonds. It would also exempt securities issued or guaranteed by the bank from the provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934 and thus facilitate the distribution of those securities. You may recall that last year this committee...

...this proceeding raise the questions whether Alexander Smith ("applicant") willfully violated various provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934, and whether he was convicted of a misdemeanor arising out of the conduct of a securities business and,...