Federal Securities Act: Hearing Before the Committee on Interstate and Foreign Commerce, House of Representatives Seventy-third Congress, First Session, on H.R. 4314, to Provide for the Furnishing of Information and the Supervision of Traffic in Investment Securities in Interstate Commerce. March 31, April 1, 4, 5, 1933 ... |
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Results 1-5 of 35
Page 2
... share , investment contract , voting trust certificate , or beneficial interest in title to property , profits , or earnings , or any other instrument commonly known as a security ; including an interim or temporary bond , debenture ...
... share , investment contract , voting trust certificate , or beneficial interest in title to property , profits , or earnings , or any other instrument commonly known as a security ; including an interim or temporary bond , debenture ...
Page 3
... shares into which such capital stock is divided , a description of the respective voting rights , preferences , rights to dividends , profits , or capital of each class with respect to each other class , the amount of capital stock of ...
... shares into which such capital stock is divided , a description of the respective voting rights , preferences , rights to dividends , profits , or capital of each class with respect to each other class , the amount of capital stock of ...
Page 8
... shares of the capital stock of a corporation prior to the incorporation thereof under the laws of any State , when no expense is incurred , or no commission , compensation , or remuneration is paid or required for or in connection with ...
... shares of the capital stock of a corporation prior to the incorporation thereof under the laws of any State , when no expense is incurred , or no commission , compensation , or remuneration is paid or required for or in connection with ...
Page 16
... share , his name may be used for the very purpose of catching people . Mr. PARKER . That is true . Mr. BULWINKLE . That is what this provision is in there for . Mr. PARKER . But somebody might forge your name , but if you did not sign ...
... share , his name may be used for the very purpose of catching people . Mr. PARKER . That is true . Mr. BULWINKLE . That is what this provision is in there for . Mr. PARKER . But somebody might forge your name , but if you did not sign ...
Page 35
... share . Our commission on this transaction is $ 1.50 a share , the remaining $ 5 being accounted for by selling expenses and commissions to salesmen . Is it not true that a great many of these issues are sold by invest- ment bankers who ...
... share . Our commission on this transaction is $ 1.50 a share , the remaining $ 5 being accounted for by selling expenses and commissions to salesmen . Is it not true that a great many of these issues are sold by invest- ment bankers who ...
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Common terms and phrases
advertising amendment apply assets attorney banks believe bill Blue Sky Laws blue-sky bonds BREED building and loan BULWINKLE BUTLER capital Capital Issues Committee CHAIRMAN clause committee CONGRESS THE LIBRARY corporation course Court of Appeals District of Columbia exemptions facts FEDERAL SECURITIES ACT Federal Trade Commission filed foreign government foreign securities fraud fraudulent gentlemen give HEALY hearing HUDDLESTON Interstate Commerce Commission investigation investment bankers issuance issuer KENNEY legislation liability LIBRARY OF CONGRES LIBRARY OF CONGRESS loan associations MAPES MARLAND ment MERRITT MILLER offered PARKER percent permit person PETTENGILL proposed provisions purchaser question railroad reference registration statement regulations responsibility revocation revoke SABATH sale of securities SAM RAYBURN section 11 securities issued sell situation sold statute subdivision thereof suggestion thing THOMPSON tion transactions underwriter United WOLVERTON words York
Popular passages
Page 9 - 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. SEC. 16. This Act may be cited as the "National Labor Relations Act.
Page 153 - Upon the filing of the record with it the jurisdiction of the court shall be exclusive and its judgment and decree shall be final, except that the same shall be subject to review by the...
Page 105 - These contracts are not articles of commerce in any proper meaning of the word. They are not subjects of trade and barter offered in the market as something having an existence and value independent of the parties to them. They are not commodities to be shipped or forwarded from one State to another, and then put up for sale.
Page 222 - Commerce" means commerce among the several States or with foreign nations, or in any Territory of the United States or in the District of Columbia, or between any such Territory and another, or between any such Territory and any State or foreign nation, or between the District of Columbia and any State or Territory or foreign nation. "Corporation...
Page 9 - ... to appear before the commission, or to produce documentary evidence if so ordered, or to give evidence touching the matter in question ; and any failure to obey such order of the court may be punished by such court as a contempt thereof.
Page 8 - Judgments and decrees so rendered shall be subject to review as provided in sections 128 and 240 of the Judicial Code, as amended (USC, title 28, sees. 225 and 347).
Page 194 - ... as in cases of contract from any person who, if sued separately, would have been liable to make the same payment, unless the person who has become liable was, and the other was not, guilty of fraudulent misrepresentation.
Page 194 - Any security exchanged by the issuer with its existing security holders exclusively where no commission or other remuneration is paid or given directly or indirectly for soliciting such exchange...
Page 7 - ... made in the course of repeated and successive transactions of a like character by such owner, or on his account by such representative, and such owner or representative not being the underwriter of such security.
Page 9 - Upon the application of the Attorney General of the United States, at the request of the commission, the district courts of the United States shall have jurisdiction to issue writs of mandamus commanding any person or corporation to comply with the provisions of this Act or any order of the commission made in pursuance thereof.