Laws Relating to Securities Commission, Exchanges and Holding Companies ...U.S. Government Printing Office, 1964 - Corporation law |
From inside the book
Results 1-5 of 84
Page iv
... Actions__ 14. Contrary Stipulations Void____ 15. Liability of Controlling Persons_ . 16. Additional Remedies .. 17. Fraudulent Interstate Transactions___ . 18. State Control of Securities__ 19. Special Powers of Commission___ ( a ) ...
... Actions__ 14. Contrary Stipulations Void____ 15. Liability of Controlling Persons_ . 16. Additional Remedies .. 17. Fraudulent Interstate Transactions___ . 18. State Control of Securities__ 19. Special Powers of Commission___ ( a ) ...
Page vi
... action for violations of section .. Section inapplicable to exempted security . 10. Regulation of the Use of Manipulative and Deceptive Devices .. ( a ) Restriction against short sales and stop - loss orders ... ( b ) Restriction ...
... action for violations of section .. Section inapplicable to exempted security . 10. Regulation of the Use of Manipulative and Deceptive Devices .. ( a ) Restriction against short sales and stop - loss orders ... ( b ) Restriction ...
Page vii
... actions may be brought__ . 19. Powers with Respect to Exchanges and Securities ( a ) Commission may take such action as in its opinion may be necessary or appropriate for investors ' protection _ _ _ ( 1 ) Suspension or withdrawal of ...
... actions may be brought__ . 19. Powers with Respect to Exchanges and Securities ( a ) Commission may take such action as in its opinion may be necessary or appropriate for investors ' protection _ _ _ ( 1 ) Suspension or withdrawal of ...
Page viii
... action or failure to act by Commission or Board constitutes approval or finding of truth or accuracy . 48 27. Jurisdiction of Offenses and Suits .. 48 28. Effect on Existing Law__ 49 ( a ) Rights and remedies are additional ; recovery ...
... action or failure to act by Commission or Board constitutes approval or finding of truth or accuracy . 48 27. Jurisdiction of Offenses and Suits .. 48 28. Effect on Existing Law__ 49 ( a ) Rights and remedies are additional ; recovery ...
Page ix
... action___ . ( c ) Section 11 ( c ) ; standard of reasonableness for determining lia- bility . ( d ) Section 11 ( e ) ; amount of recovery- 207. Amendment to Section 13 of Securities Act of 1933 . Amendment of limitation of time for ...
... action___ . ( c ) Section 11 ( c ) ; standard of reasonableness for determining lia- bility . ( d ) Section 11 ( e ) ; amount of recovery- 207. Amendment to Section 13 of Securities Act of 1933 . Amendment of limitation of time for ...
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Common terms and phrases
affiliated amount application approval assets authority bank holding company broker or dealer centum Commission may prescribe contract corporation court creditors debtor debtor in possession deems necessary directly or indirectly directors effective date face-amount certificate company Federal Reserve Board filed indenture trustee instrumentality of interstate interstate commerce investment adviser investors or consumers issuer jurisdiction liability licensee mails means or instrumentality national securities exchange necessary or appropriate notice and opportunity obligor officer opportunity for hearing order thereunder otherwise pany paragraph payment person petition prescribe as necessary prior proceeding prospectus protection of investors public interest public utility public-utility company purchase purposes pursuant reasonable registered holding company registration statement regulations or order regulations thereunder respect rule or regulation rules and regulations Securities Act security issued specified stockholders suant subsection subsidiary company thereof therein tion transaction underwriter unit investment trust United unlawful violation
Popular passages
Page 263 - ... securities act of 1933, as amended in 1934, are relevant. These sections follow: "Sec. 2. When used in this title, unless the context otherwise requires — "(1) The term 'security' means any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit...
Page 118 - 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 45 - Commission, there to produce records, if so ordered, or to give testimony touching the matter under investigation or in question; and any failure to obey such order of the court may be punished by such court as a contempt thereof.
Page 92 - Commission under this title may obtain a review of such order in the circuit court of appeals of the United States within any circuit wherein such person resides or has his principal place of business, or in the United States Court of Appeals for the District of Columbia, by filing in such court, within sixty days after the entry of such order, a written petition praying that the order of the Commission be modified or set aside in whole or in part.
Page 46 - Board, on the ground that the testimony or evidence 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, to testify or produce evidence, except that such individual so testifying shall not be exempt from prosecution and punishment for...
Page 63 - ... 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 299 - Commission with respect to registration, any statement which was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact...
Page 93 - 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 jurisdiction of violations of this title or the rules, regulations, or orders thereunder...
Page 274 - sell" includes every contract of sale of, contract to sell, or disposition of, a security or interest in a security for value; (2) "Offer" or "offer to sell" includes every attempt or offer to dispose of, or solicitation of an offer to buy, a security or interest in a security for value...
Page 47 - No objection to the order of the Commission shall be considered by the court unless such objection shall have been urged before the Commission.