Decisions and ReportsU.S. Government Printing Office, 1958 - Securities |
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Page 7
... principal subsidiary is Philadel- phia Company ( “ Philadelphia ” ) , also a registered holding company . Gas and Philadelphia , now both exclusively holding companies , are also subject to our orders under Section 11 ( b ) ( 2 ) of the ...
... principal subsidiary is Philadel- phia Company ( “ Philadelphia ” ) , also a registered holding company . Gas and Philadelphia , now both exclusively holding companies , are also subject to our orders under Section 11 ( b ) ( 2 ) of the ...
Page 30
... principal transmission lines and interconnections . We shall first consider the background of our Section 11 ( b ) ( 1 ) order of December 28 , 1951 , and determine whether , within the mean- ing of the next to the last sentence of ...
... principal transmission lines and interconnections . We shall first consider the background of our Section 11 ( b ) ( 1 ) order of December 28 , 1951 , and determine whether , within the mean- ing of the next to the last sentence of ...
Page 60
... principal participant in the Brunston transactions , resigned from registrant on October 9 , 1953 , and reg- istrant has adopted measures for internal control and supervision designed to prevent any future violations of the Securities ...
... principal participant in the Brunston transactions , resigned from registrant on October 9 , 1953 , and reg- istrant has adopted measures for internal control and supervision designed to prevent any future violations of the Securities ...
Page 66
... principal partner of member recommended purchase of speculative security to uninformed customers of modest financial means , and made optimistic forecasts as to increases in price of stock and state- ments which led customers to believe ...
... principal partner of member recommended purchase of speculative security to uninformed customers of modest financial means , and made optimistic forecasts as to increases in price of stock and state- ments which led customers to believe ...
Page 67
... principal partner of member recommended purchase of speculative security to uninformed customers of modest financial means , and made optimistic forecasts as to increases in price of stock and state- ments which led customers to believe ...
... principal partner of member recommended purchase of speculative security to uninformed customers of modest financial means , and made optimistic forecasts as to increases in price of stock and state- ments which led customers to believe ...
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Common terms and phrases
accounts additional Adjustment Bondholders aggregate Airfleets Albuquerque Amalga amended applicant approval approximately Armstrong and Commissioners Atlas basis Bonds broker or dealer broker-dealer capital cash claims Commission Chairman Armstrong common stock Corporation cost customers debentures debtor December 31 directors dividends Duquesne earnings effect Electric estimated exemption expenses fare increase Fifth Avenue filed financial statements funds Green River Haley hearing holders holding company income investment company investors issuance issued issuer Joint Plan liabilities loss ment merger misleading NASD net asset value North Penn offering circular operating outstanding par value payment Penelec Power preferred stock prior pro forma proceedings properties proposed provides public interest purchase record registrant's registration statement reorganization reserve respect revenues Rule Seaboard Section 11 Securities Act Standard Gas stockholders subsidiary substantial Sweet Grass Third Avenue tion transactions Trustee Trustee's underwriting uranium violated Wasatch Westchester
Popular passages
Page 252 - Commission under authority thereof, or any person who willfully, in a registration statement filed under this title, makes any untrue statement of a material fact or omits to state any material fact required to be stated therein or necessary to make the statements therein not misleading, shall upon conviction be fined not more than $5,000 or imprisoned not more than five years, or both.
Page 444 - For accounting purposes, the term current assets is used to designate cash and other assets or resources commonly identified as those which are reasonably expected to be realized in cash or sold or consumed during the normal operating cycle of the business.
Page 243 - ... (d) If it appears to the Commission at any time that the registration statement includes any untrue statement of a material fact or omits to state any material fact required to...
Page 246 - ... is engaged or proposes to engage in the business of investing, reinvesting, owning, holding, or trading in securities, and owns or proposes to acquire investment securities having a value exceeding 40 per centum of the value of such issuer's total assets (exclusive of Government securities and cash items) on an unconsolidated basis. As used in this section, "investment securities" includes all securities except (A) Government securities, (B) securities issued by employees...
Page 212 - The Commission, by rules and regulations upon its own motion, or by order upon application, shall exempt any holding company, and every subsidiary company thereof as such, from any provision or provisions of this title, unless and except insofar as it finds the exemption detrimental to the public interest or the interest of investors or consumers...
Page 109 - A member, in the conduct of his business, shall observe high standards of commercial honor and just and equitable principles of trade.
Page 39 - Act of 1958 if it finds, having regard to the purposes of that act, that the enforcement of this act with respect to such securities is not necessary in the public interest and for the protection of investors.
Page 493 - It shall be unlawful for any person to solicit or to permit the use of his or its name to solicit, by use of the mails or any means or instrumentality of interstate commerce, or otherwise, any proxy, power of attorney, consent, or authorization regarding any security of a registered holding company or a subsidiary company thereof in contravention of such rules and regulations or orders as the Commission...
Page 100 - ... (2) Any issuer which the Commission, upon application by such issuer, finds and by order declares to be primarily engaged in a business or businesses other than that of investing, reinvesting, owning, holding, or trading in securities either directly or (A) through majority-owned subsidiaries or (B) through controlled companies conducting similar types of businesses.
Page 22 - ... Integrated public-utility system " means — (A) As applied to electric utility companies, a system consisting of one or more units of generating plants and/or transmission lines and/or distributing facilities, whose utility assets, whether owned by one or more electric utility companies, are physically interconnected or capable of physical interconnection and which under normal conditions may be economically operated as a single interconnected and coordinated system confined in its operations...