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 24
... operations during each year , send a copy thereof , together with a copy of the account and balance sheet and auditor's report , to the Commission and to both Houses of Congress , and pro- vide one copy of such report but not more than ...
... operations during each year , send a copy thereof , together with a copy of the account and balance sheet and auditor's report , to the Commission and to both Houses of Congress , and pro- vide one copy of such report but not more than ...
Page 26
... operation of the national banking system and Federal Reserve System . ( 4 ) National emergencies , which produce widespread unemploy- ment and the dislocation of trade , transportation , and industry , and which burden interstate ...
... operation of the national banking system and Federal Reserve System . ( 4 ) National emergencies , which produce widespread unemploy- ment and the dislocation of trade , transportation , and industry , and which burden interstate ...
Page 28
... operation of any one or more provisions of this title which by their terms do not apply to an " exempted security " or to " exempted securities . " ( 13 ) The terms " buy " and " purchase " each include any contract to buy , purchase ...
... operation of any one or more provisions of this title which by their terms do not apply to an " exempted security " or to " exempted securities . " ( 13 ) The terms " buy " and " purchase " each include any contract to buy , purchase ...
Page 29
... operations or transactions of a character subject to regulation by the Commission pursuant to this title . Each commissioner shall receive a salary at the rate of $ 10,000 a year and shall hold office for a term of five years , except ...
... operations or transactions of a character subject to regulation by the Commission pursuant to this title . Each commissioner shall receive a salary at the rate of $ 10,000 a year and shall hold office for a term of five years , except ...
Page 32
... operation of this subsection and the rules and regulations thereunder . ( e ) The provisions of this section or the rules and regulations thereunder shall not apply on or before July 1 , 1937 , to any loan or extension of credit made ...
... operation of this subsection and the rules and regulations thereunder . ( e ) The provisions of this section or the rules and regulations thereunder shall not apply on or before July 1 , 1937 , to any loan or extension of credit made ...
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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.