Decisions and Reports, Volume 38U.S. Government Printing Office, 1960 - Securities |
From inside the book
Results 1-5 of 100
Page 4
... any person controlling or controlled by such broker or dealer was a cause of any order of revocation , suspension or expulsion which is in effect . 38 S.E.C. - 34-5543 After appropriate notice a hearing was held . Proposed findings 4.
... any person controlling or controlled by such broker or dealer was a cause of any order of revocation , suspension or expulsion which is in effect . 38 S.E.C. - 34-5543 After appropriate notice a hearing was held . Proposed findings 4.
Page 8
... effect with the Securities and Exchange Commission as to such securities . The complaint in that action recites that registrant , as underwriter , sold stock of Dawn Uranium and Oil Company in violation of the registration provision of ...
... effect with the Securities and Exchange Commission as to such securities . The complaint in that action recites that registrant , as underwriter , sold stock of Dawn Uranium and Oil Company in violation of the registration provision of ...
Page 10
... effect . 2 Section 15 ( c ) ( 1 ) provides in substances that no broker or dealer shall use the mails or instrumentalities of interstate commerce to effect any over - the - counter security transaction by means of any device or ...
... effect . 2 Section 15 ( c ) ( 1 ) provides in substances that no broker or dealer shall use the mails or instrumentalities of interstate commerce to effect any over - the - counter security transaction by means of any device or ...
Page 31
... effect transactions in and to induce the purchase and sale of securities when his aggregate indebtedness to all other persons ex- ceeded 2,000 per centum of his net capital computed as specified in Rule 240.15c3-1 . 2 The effect of ...
... effect transactions in and to induce the purchase and sale of securities when his aggregate indebtedness to all other persons ex- ceeded 2,000 per centum of his net capital computed as specified in Rule 240.15c3-1 . 2 The effect of ...
Page 36
... effect at least one of these so - called options , which was dated October 18 , 1955 , and covered 1,000,000 shares of Apache stock sold to Jaeger at l ¢ per share , for which Jaeger had given his promissory note for $ 10,000 . The ...
... effect at least one of these so - called options , which was dated October 18 , 1955 , and covered 1,000,000 shares of Apache stock sold to Jaeger at l ¢ per share , for which Jaeger had given his promissory note for $ 10,000 . The ...
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Common terms and phrases
Act and Rule Act of 1934-Sections amendment amount application for registration assets Bellanca bonds books and records broker and dealer broker or dealer BROKER-DEALER REGISTRATION capital Columbia Commission Chairman Gadsby Commissioners Orrick common stock Corporation customers debentures December 31 director disclose Division of Trading effect false and misleading FINDINGS AND OPINION Gadsby and Commissioners Gulf Interstate hearing examiner held holding company interest to revoke issuance issuer misleading statements NASD national securities association national securities exchange natural gas offering circular officer operating order of revocation par value preferred stock proposed prospectus protection of investors provides proxy public interest public offering purchase pursuant to Section regis registered broker-dealer registrant's REGISTRATION Grounds registration statement Regulation revoke the registration Section 15 Section 17(a Securities Act Securities Exchange Act sell shares sold stockholders stop order subsidiary suspend thereunder tion transactions underwriter violation of Section withdrawal
Popular passages
Page 84 - ... 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 perjury committed in so testifying.
Page 20 - 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 203 - 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 564 - ... from engaging in or continuing any conduct or practice in connection with any such activity, or in connection with the purchase or sale of any security...
Page 82 - The Commission may deny, temporarily or permanently, the privilege of appearing or practicing before it in any way to any person who is found by the Commission after...
Page 386 - underwriter" means any person who has purchased from an issuer with a view to, or offers or' sells for an issuer in connection with, the distribution of any security, or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in the direct or indirect underwriting of any such undertaking; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary...
Page 194 - As applied to electric utility companies, a system consisting of one or more units of generating plants and/or transmission lines and/or distribution 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 to a single area or region, in one or more States,...
Page 600 - It shall be unlawful for any person in the offer or sale of any securities by the use of any means or instruments of transportation or communication in interstate commerce or by the use of the mails, directly or indirectly — (1) to employ any device, scheme, or artifice to defraud...
Page 207 - ... did not know, and in the exercise of reasonable care could not have known, of such untruth or omission...
Page 305 - No broker or dealer shall make use of the mails or of any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security (other than commercial paper, bankers...