Trust Indentures. Hearings Before Subcommittee ... on H.R. 2191 and H.R. 5220 ... April 4, 5, 6, 7, and 11, 1939 |
From inside the book
Results 1-5 of 76
Page 1
... small proportion of the total expense of public distribution , underwriter's commission , and discount being from four to nine times as important a factor . 1 Fourth . The provisions relating to the periodic reports by.
... small proportion of the total expense of public distribution , underwriter's commission , and discount being from four to nine times as important a factor . 1 Fourth . The provisions relating to the periodic reports by.
Page 2
... underwriter , which rela- tionship , connection , or interest involves a material conflict , actual or poten- tial ... underwriters or purchasers of the securities in regard to the release and substitution of property subject to the lien ...
... underwriter , which rela- tionship , connection , or interest involves a material conflict , actual or poten- tial ... underwriters or purchasers of the securities in regard to the release and substitution of property subject to the lien ...
Page 3
... underwriter in advance of the public offering of the securities to be issued thereunder , such investors are unable to participate in the preparation thereof , and , by reason of their lack of understanding of the situation , such ...
... underwriter in advance of the public offering of the securities to be issued thereunder , such investors are unable to participate in the preparation thereof , and , by reason of their lack of understanding of the situation , such ...
Page 5
... underwriters ( as such term is defined in the last paragraph of subsection ( b ) of section 308 ) , and prospective obligors , indenture trustees , and underwriters , and the direct or indirect relationships between any of the fore ...
... underwriters ( as such term is defined in the last paragraph of subsection ( b ) of section 308 ) , and prospective obligors , indenture trustees , and underwriters , and the direct or indirect relationships between any of the fore ...
Page 6
... underwriter , or prospective underwriter , of the securities in respect of which the application is filed , or any trustee or pros- pective trustee under the indenture to be qualified , shall fail to cooperate , or shall obstruct or ...
... underwriter , or prospective underwriter , of the securities in respect of which the application is filed , or any trustee or pros- pective trustee under the indenture to be qualified , shall fail to cooperate , or shall obstruct or ...
Common terms and phrases
acting as trustee action AMBERG amendment American Bankers Association application for qualification bankruptcy bill bondholders bonds BOREN borrower BURKE CANRIGHT capital centum certificates Chairman COLE Commissioner EICHER committee conflicting interest contain provisions corporate trustees court debentures deemed denture disclosure duties effect Exchange Act Exchange Commission exemption exercise expense fact Federal Reserve Federal Reserve Board Federal Reserve System filed financing hearings inden indenture provisions indenture security holders indenture trustee investment issuer legislation liability loan mails MAPES ment mortgage National Bank necessary obligations obligor opinion outstanding paragraph paying agent percent person principal amount prior to default proposed protection of investors public interest qualified reason REECE referred respect REUTER section 315 Securities Act Securities and Exchange securities issued Senate STARKWEATHER subsection thereof thereunder tion trust companies trust indentures trust institutions trusteeships underwriter Union Trust Co voting securities York
Popular passages
Page 25 - ... (1) to make use of any means or instruments of transportation or communication in interstate commerce or of the mails...
Page 37 - No provision of this title imposing any liability shall apply to any act done or omitted in good faith in conformity with any rule, regulation or order of the Commission, notwithstanding that such rule, regulation or order may, after such act or omission, be amended or rescinded or be determined by judicial or other authority to be invalid for any reason.
Page 11 - 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 be stated therein or necessary to make the statements therein not misleading...
Page 187 - Cong.) of the Interstate and Foreign Commerce Committee of the House of Representatives of the United States of which the Hon.
Page 39 - If any provision of this Act, or the application of such provision to any person or circumstance, shall be held invalid, the remainder of this Act, or the application of such provision to persons or circumstances other than those as to which it is held invalid, shall not be affected thereby.
Page 39 - 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 $10,000 or imprisoned not more than five years, or both.
Page 26 - ... as the Commission may by rules and regulations prescribe as necessary or appropriate in the public interest or for the protection of investors.
Page 10 - ... (2) to carry or cause to be carried through the mails or in interstate commerce, by any means or instruments of transportation, any such security for the purpose of sale or for delivery after sale.
Page 37 - Rules, Regulations, and Orders SEC. 20. (a) The Commission shall have authority from time to time to make, issue, amend, and rescind such rules and regulations and such orders as it may deem necessary or appropriate to carry out the provisions of this title, including rules and regulations defining accounting, technical, and trade terms used in this title.
Page 316 - ... (c) When abuses of the character above enumerated become persistent and wide-spread the holding company becomes an agency which, unless regulated, is injurious to investors, consumers, and the general public; and it is hereby declared to be the policy of this title, in accordance with which policy all the provisions of this title shall be interpreted, to meet the problems and eliminate the evils as enumerated in this section...