Regulation of Sale of Securities: Hearing[s] Before a Subcommittee of the Committee on Banking and Currency, United States Senate, Seventy-fifth Congress, First Session, on S. 2344, a Bill to Provide for the Regulation of the Sale of Certain Securities in Interstate and Foreign Commerce, and the Trust Indentures Under which the Same are Issued, and for Other Purposes. June 9, 15, 22, and 29, 1937 |
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Page 2
... Act , in accordance with which policy all the provisions of this Act shall be interpreted , to meet the problems and eliminate the evils , as enumer- ated in this section , connected with the public offering of such securities by the ...
... Act , in accordance with which policy all the provisions of this Act shall be interpreted , to meet the problems and eliminate the evils , as enumer- ated in this section , connected with the public offering of such securities by the ...
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... Securities Act of 1933 " , " Securities Exchange Act of 1934 " and " Public Utility Holding Company Act of 1935 " shall be deemed to refer , respectively , to such Acts , as heretofore or hereafter amended . EXEMPTED SECURITIES AND ...
... Securities Act of 1933 " , " Securities Exchange Act of 1934 " and " Public Utility Holding Company Act of 1935 " shall be deemed to refer , respectively , to such Acts , as heretofore or hereafter amended . EXEMPTED SECURITIES AND ...
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... Securities and Exchange. ( 4 ) Any security exempted from the provisions of the Securities Act of 1933 , by paragraph 2 , 3 , 4 , 5 , 6 , 7 , 8 , or 11 of subsection 3 ( a ) of such Act , as heretofore amended . ( 5 ) Any security issued ...
... Securities and Exchange. ( 4 ) Any security exempted from the provisions of the Securities Act of 1933 , by paragraph 2 , 3 , 4 , 5 , 6 , 7 , 8 , or 11 of subsection 3 ( a ) of such Act , as heretofore amended . ( 5 ) Any security issued ...
Page 5
... Securities Act of 1933 , covering securities issued or to be issued under the indenture to be qualified has been filed prior to or simultaneously with the application , the filing of such application shall not be deemed to have taken ...
... Securities Act of 1933 , covering securities issued or to be issued under the indenture to be qualified has been filed prior to or simultaneously with the application , the filing of such application shall not be deemed to have taken ...
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... law of any jurisdiction in which any particular act or acts are to be performed , such institutional trustee shall be incompetent or unqualified to perform such act or acts . ( 4 ) In the case of certificates of interest or ...
... law of any jurisdiction in which any particular act or acts are to be performed , such institutional trustee shall be incompetent or unqualified to perform such act or acts . ( 4 ) In the case of certificates of interest or ...
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Common terms and phrases
act as trustee action adequate Alben W amendment American Bankers Association application bank Bankers Barkley bill bondholders bonds BUTTENWIESER CANRIGHT centum CHAIRMAN clause collateral Commission deems Commissioner DOUGLAS committee print conflict of interest conflicting interest corporate trustees court creditor debenture director duties enforcement Exchange Commission exemption exercise Federal Reserve System filed inden indenture security holders indenture trustee interest or participation interests of investors investment issuer legislation liability loans mortgage necessary or appropriate negative pledge negligence obligations obligor paragraph paying agent payment permitted person POSNER prescribe prior to default prospective trustee protection of investors public interest qualified shall contain reasonable reorganization Report respect responsible rules and regulations Securities Act Securities and Exchange securities issued Senator BARKLEY Senator HUGHES Senator TOWNSEND situation statement subsection substitution term thereof thereunder tion trust companies trust indenture trustee's trusteeship underwriter UNTERMYER voting securities
Popular passages
Page 86 - Act of 1933. (b) The Treasury Department, the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Reserve Banks, and the Federal Deposit Insurance Corporation...
Page 13 - System, notwithstanding that such rule or regulation 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 14 - 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 11 - Such information, in such detail, as to the issuer and any person directly or indirectly controlling or controlled by, or under direct or indirect common control with...
Page 209 - Commission deems relevant or material to the inquiry. Such attendance of witnesses and the production of any such records may be required from any place in the United States or any State at any designated place of hearing.
Page 5 - The Information contained In or filed with any registration statement shall be made available to the public under such regulations as the Commission may prescribe...
Page 197 - 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...
Page 200 - 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 15 - If any provision of this Act or the application of such provision to any person or circumstance shall be held invalid, the remainder of the Act and 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 4 - The Commission may from time to time by its rules and regulations and subject to such terms and conditions as may be prescribed therein...