Annual Report of the SEC.U.S. Government Printing Office, 1963 - Securities |
From inside the book
Results 1-5 of 100
Page 122
... Defendants had represented that treasury shares of the corporation were available for sale . However , as to those treasury shares which were sold , no registration statement was in effect , and other shares sold were not treasury ...
... Defendants had represented that treasury shares of the corporation were available for sale . However , as to those treasury shares which were sold , no registration statement was in effect , and other shares sold were not treasury ...
Page 137
... defendants were convicted shortly after the close of the fiscal year of violating the anti - fraud provisions of the Securities Act and the Mail Fraud Statute in the promotion and sale of 8 % and 12 % short - term notes of Credit ...
... defendants were convicted shortly after the close of the fiscal year of violating the anti - fraud provisions of the Securities Act and the Mail Fraud Statute in the promotion and sale of 8 % and 12 % short - term notes of Credit ...
Page 195
United States. Securities and Exchange Commission. Name of principal defendant Defendant apprehended and released on ... defendants . Pending . of Texas . 1933 Act ; Secs . 371 and 1341 , Title 18 , U.S.C. Mar. 14 , 1960 Secs . 5 ( a ) ...
United States. Securities and Exchange Commission. Name of principal defendant Defendant apprehended and released on ... defendants . Pending . of Texas . 1933 Act ; Secs . 371 and 1341 , Title 18 , U.S.C. Mar. 14 , 1960 Secs . 5 ( a ) ...
Page 196
... defendants and 2 corporate defendants pleaded guilty to various counts of the indictment ; another defendant pleaded to an information charging violations of Sec . 10 ( b ) of the 1934 Act . Pending . Defendant pleaded guilty . Pending ...
... defendants and 2 corporate defendants pleaded guilty to various counts of the indictment ; another defendant pleaded to an information charging violations of Sec . 10 ( b ) of the 1934 Act . Pending . Defendant pleaded guilty . Pending ...
Page 197
... defendants found guilty on Sec . 17 ( a ) of 1933 Act and Sec . 1341 , Title 18 , U.S.C .; 1 defendant sentenced to ... defendants convicted . Decision rendered by CA - 5 affirming conviction of district court . Petition for writ of ...
... defendants found guilty on Sec . 17 ( a ) of 1933 Act and Sec . 1341 , Title 18 , U.S.C .; 1 defendant sentenced to ... defendants convicted . Decision rendered by CA - 5 affirming conviction of district court . Petition for writ of ...
Contents
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37 | |
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172 | |
vi | |
viii | |
xi | |
xvii | |
15 | |
27 | |
34 | |
41 | |
45 | |
65 | |
96 | |
105 | |
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Common terms and phrases
action amendments American Stock Exchange amicus curiae amount Annual Report appeal filed application appointment assets Association bonds broker broker-dealer Closed Commission's common stock Complaint and request Complaint filed consent entered Corp dealers defendants entered directors dismissed district court effective ended June 30 Exchange Act Release exemption Final judgment fiscal fiscal year ended funds Holding Company Holding Company Act investment adviser Investment Company Act investors issuer issues judgment by consent July June 13 June 30 ment million Mines NASD national securities exchange offering Order entered Pending percent petition preferred stock Preliminary injunction principal proceedings proposed provisions proxy receiver filed registration statement Regulation remaining defendant Rule Securities Act Securities Exchange Act security holders Sept Southern District staff stockholders subsidiaries suspended tion Title 18 Total transactions Trust U.S.C. Secs underwriter violations York Stock Exchange
Popular passages
Page 99 - Department of the Wharton School of Finance and Commerce of the University of Pennsylvania.
Page 60 - Commission, or any officer designated by it, is empowered to administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, contracts, agreements, or other records which the Commission finds relevant or material to the inquiry.
Page 109 - ... necessary or appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policy and provisions of this title.
Page 30 - 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 59 - Every person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of any equity security (other than an exempted security) which is registered on a national securities exchange, or who is a director or an officer of the issuer of such security...
Page 36 - Any security issued by a building and loan association, homestead association, savings and loan association, or similar institution, substantially all the business of which is confined to the making of loans to members (but the...
Page 41 - A corporation which is licensed to operate as a small business investment company under the Small Business Investment Act Of 1958 (15 USC Ch.
Page 66 - The Commission may, in its discretion, make such investigations as it deems necessary to determine whether any person has violated or is about to violate...
Page 194 - Commission is responsible for the administration and enforcement of the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.
Page 2 - Region 5. Oklahoma, Arkansas, Texas, that part of Louisiana lying west of the Atchafalaya River, and Kansas (except Kansas City)— Regional Administrator, 503 US Court House, 10th and Lamar Streets, Fort Worth.