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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... hearing- ( e ) Injunctions ; criminal proceedings .. 89. Rules and Regulations ; Procedure for Issuance .. ( b ) ... Hearings by Commission .. 42. Enforcement of Title_ ( a ) Investigations_ ( b ) Power to administer oaths , subpena ...
... hearing- ( e ) Injunctions ; criminal proceedings .. 89. Rules and Regulations ; Procedure for Issuance .. ( b ) ... Hearings by Commission .. 42. Enforcement of Title_ ( a ) Investigations_ ( b ) Power to administer oaths , subpena ...
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... hearing .... 269 Compliance with rules and regulations in good faith as a bar to liability . 269 212. Hearings ... 270 218. Court Review of Orders : ( a ) Petitions ; additional evidence ; review by Supreme Court of United States___ ...
... hearing .... 269 Compliance with rules and regulations in good faith as a bar to liability . 269 212. Hearings ... 270 218. Court Review of Orders : ( a ) Petitions ; additional evidence ; review by Supreme Court of United States___ ...
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... hearing ( at a time fixed by the Commission ) within ten days after such notice by personal service or the sending of such telegraphic notice , issue an order prior to the effective date of registration refusing to permit such statement ...
... hearing ( at a time fixed by the Commission ) within ten days after such notice by personal service or the sending of such telegraphic notice , issue an order prior to the effective date of registration refusing to permit such statement ...
Page 8
... hearing 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 . The ...
... hearing 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 . The ...
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... hearing . INJUNCTIONS AND PROSECUTION OF OFFENSES SEC . 20. ( a ) Whenever it shall appear to the Commission ... HEARINGS BY COMMISSION SEC 21. All hearings shall be public 14.
... hearing . INJUNCTIONS AND PROSECUTION OF OFFENSES SEC . 20. ( a ) Whenever it shall appear to the Commission ... HEARINGS BY COMMISSION SEC 21. All hearings shall be public 14.
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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.