Laws Relating to Securities Commission, Exchanges and Holding Companies ...U.S. Government Printing Office, 1964 - Corporation law |
From inside the book
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Page v
... ....... . ( a ) Definitions : Exchange . ( 2 ) Facility- ( 3 ) Member- -------------------------------- ( 4 ) Broker ..----------------------------------------- 5 ) Dealer .. ............................................. ------ ...
... ....... . ( a ) Definitions : Exchange . ( 2 ) Facility- ( 3 ) Member- -------------------------------- ( 4 ) Broker ..----------------------------------------- 5 ) Dealer .. ............................................. ------ ...
Page vi
... Brokers and Dealers .. ( a ) Restriction on borrowing by exchange members , brokers and dealers____ 32 ( b ) Amount of net capital of exchange member , broker and dealer which may be loaned ... ( c ) Prohibition against hypothecation of ...
... Brokers and Dealers .. ( a ) Restriction on borrowing by exchange members , brokers and dealers____ 32 ( b ) Amount of net capital of exchange member , broker and dealer which may be loaned ... ( c ) Prohibition against hypothecation of ...
Page vii
... brokers and dealers ; examination by Commission of such accounts and records___ 41 41 རྒྱ 8 སྐྱསུ 42 42 42 42 , 129 , 163 ( b ) Reports to Federal Reserve Board by brokers , dealers or other person extending credit ; inspection by Board ...
... brokers and dealers ; examination by Commission of such accounts and records___ 41 41 རྒྱ 8 སྐྱསུ 42 42 42 42 , 129 , 163 ( b ) Reports to Federal Reserve Board by brokers , dealers or other person extending credit ; inspection by Board ...
Page viii
... brokers and dealers on foreign exchanges are unlawful .. ( b ) Circumstances under which this title is applicable to security transactions outside U. S .. 81. Registration Fees- 49 , 162 49 50 90 8 888 88 50 50 50 50 50 , 129 ( 2 ) ...
... brokers and dealers on foreign exchanges are unlawful .. ( b ) Circumstances under which this title is applicable to security transactions outside U. S .. 81. Registration Fees- 49 , 162 49 50 90 8 888 88 50 50 50 50 50 , 129 ( 2 ) ...
Page xi
... broker or dealer . 126 ( b ) Registration of brokers and dealers ; denial or revocation of registration . ......... . ( c ) ( 1 ) Prohibition against use of manipulative , deceptive , or other fraudulent device or contrivance__ 126 128 ...
... broker or dealer . 126 ( b ) Registration of brokers and dealers ; denial or revocation of registration . ......... . ( c ) ( 1 ) Prohibition against use of manipulative , deceptive , or other fraudulent device or contrivance__ 126 128 ...
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Common terms and phrases
amended amount application approval assets authority broker or dealer centum Commission may prescribe contract corporation court creditors debtor debtor in possession directly or indirectly documents effective date face-amount certificate 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 March 15 means or instrumentality ment national securities exchange necessary or appropriate obligor officer opportunity for hearing order thereunder otherwise pany paragraph payment petition prescribe as necessary prior proceeding prospectus protection of investors public interest public utility public-utility company purchase purposes pursuant reasonable registered holding company registered investment company registration statement regulations or order regulations thereunder respect rule or regulation rules and regulations Securities Act security issued specified stockholders subsection subsidiary company thereof therein tion transactions treasury stock unit investment trust United unlawful unless 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.