Decisions and Reports, Volume 23U.S. Government Printing Office, 1953 - Securities |
From inside the book
Results 1-5 of 97
Page v
... ment Advisers Page herein of 1939 1 Section involved Section in- volved Section in- volved Section in- volved Power & A Ainsworth Manufac- turing Corp ..___ Albuquerque Gas and Electric Co ... American General Corporation ... American ...
... ment Advisers Page herein of 1939 1 Section involved Section in- volved Section in- volved Section in- volved Power & A Ainsworth Manufac- turing Corp ..___ Albuquerque Gas and Electric Co ... American General Corporation ... American ...
Page vi
... ment Advisers Acts of 1940 2 ture Act of 1939 1 Section involved Section in- volved Section in- volved B Bankers Securities Corporation . Do ... 17 ( a ) 17 ( b ) 17 ( a ) 17 ( b ) Boston Stock Ex- change , Applica- tions by the ...
... ment Advisers Acts of 1940 2 ture Act of 1939 1 Section involved Section in- volved Section in- volved B Bankers Securities Corporation . Do ... 17 ( a ) 17 ( b ) 17 ( a ) 17 ( b ) Boston Stock Ex- change , Applica- tions by the ...
Page vii
... ment Advisers Acts of 1940 2 Page herein Section in- volved Section in- volved 12 ( f ) ( 2 ) 67 ? 12 ( f ) ( 2 ) 412 6 ( a ) , 7 , 9 , 10,12 625 619 6 ( a ) , 7 , 9 , 625 10 , 12 11 ( d ) 12 ( f ) ( 2 ) 249 412 7 , 10 , 12 375 Rule U ...
... ment Advisers Acts of 1940 2 Page herein Section in- volved Section in- volved 12 ( f ) ( 2 ) 67 ? 12 ( f ) ( 2 ) 412 6 ( a ) , 7 , 9 , 10,12 625 619 6 ( a ) , 7 , 9 , 625 10 , 12 11 ( d ) 12 ( f ) ( 2 ) 249 412 7 , 10 , 12 375 Rule U ...
Page viii
... ment Advisers Acts of 1940 ' ture Act of 1939 1 Section involved Section in- volved Section in- volved Electric Bond and Share Company --- Do ---- Electric Bond and Share Company and its Subsidiary Companies ---- Electric Bond and 11 ...
... ment Advisers Acts of 1940 ' ture Act of 1939 1 Section involved Section in- volved Section in- volved Electric Bond and Share Company --- Do ---- Electric Bond and Share Company and its Subsidiary Companies ---- Electric Bond and 11 ...
Page ix
... ment Advisers Acts of 1940 $ ture Act of 1939 1 Section involved Section in- volved Goodall Securities Corporation ..- . Great Lakes Utili- ties Company ... Greene & Company- Grumman Aircraft Engineering Cor- poration ..... Gulf States ...
... ment Advisers Acts of 1940 $ ture Act of 1939 1 Section involved Section in- volved Goodall Securities Corporation ..- . Great Lakes Utili- ties Company ... Greene & Company- Grumman Aircraft Engineering Cor- poration ..... Gulf States ...
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Common terms and phrases
accrued adjustments affiliated person aggregate amended American amortization application approved balance sheet bank basis Bond and Share capital stock capital surplus carrying value cash Commission common shares common stock consolidated convertible debentures Corporation cumulative debentures December 31 depreciation distribution dividends earned surplus Edison England estimated excess profits taxes exchange exemption expenses filed forma Franklin Simon fund holders Holding Company Act interest Investment Company Act issuance issue and sale liabilities Light & Power liquidation long-term debt March 31 ment operating original cost outstanding pany par value payment Penelec Pennsylvania Power & Light preferred shares preferred stock preferred stockholders principal amount pro forma proposed transactions provisions of Section Public Utility Public Utility Holding purchase pursuant to Section redemption registered holding company requirements reserve respect Rule second preferred Section 11 securities shares of common taxes tion Total Trust underwriters Utility Holding Company utility plant voting
Popular passages
Page 43 - ... per centum or more of whose outstanding voting securities are directly or indirectly owned, controlled, or held with power to vote, by such other person : (C) any person directly or indirectly controlling, controlled by, or under common control with, such other person...
Page 726 - ... (b) To use or employ, in connection with the purchase or sale of any security registered on a national securities exchange or any security not so registered, any manipulative or deceptive device or contrivance in contravention of such rules and regulations as the Commission may prescribe as necessary or appropriate in the public interest or for the protection of investors.
Page 726 - 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, or...
Page 726 - 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 or attempt to induce the purchase or sale of, any security (other than an exempted security or commercial paper, bankers...
Page 455 - Blotters (or other records of original entry) containing an itemized daily record of all purchases and sales of securities, all receipts and deliveries of securities (including certificate numbers), all receipts and disbursements of cash and all other debits and credits.
Page 726 - ... 1 ) to employ any device, scheme, or artifice to defraud, (2) to make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading...
Page 446 - In securities ; (2) is engaged or proposes to engage in the business of issuing faceamount certificates of the installment type, or has been engaged in such business and has any such certificate outstanding ; or (3) is engaged or proposes to engage in the business of investing, reinvesting, owning, holding, or trading In securities...
Page 404 - Commission shall grant such application and issue such order of exemption if evidence establishes that — (1) the terms of the proposed transaction, including the consideration to be paid or received, are reasonable and fair and do not involve overreaching on the part of any person concerned...
Page 726 - ... (1) to employ any device, scheme, or artifice to defraud, (2) to make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading, or .3) to engage in any act, practice or course of business which operates or would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security.
Page 726 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails or of any facility of any national securities exchange, "(a) To employ any device, scheme, or artifice to defraud...