Annual Report of the SEC.U.S. Government Printing Office, 1963 - Securities |
From inside the book
Results 1-5 of 100
Page xiv
... period from January 3 , 1949 , he served two 6 - year terms as a Senator from the State of Delaware in the Senate of the United States . He was a member of the Committee on Banking and Currency , which has juris- diction over ...
... period from January 3 , 1949 , he served two 6 - year terms as a Senator from the State of Delaware in the Senate of the United States . He was a member of the Committee on Banking and Currency , which has juris- diction over ...
Page 16
... period of time for the dividends or the cash value of the new policy to equal those under the old policy ; and that the prospect may lose the benefits of the " incontestability provision " because the period during which the insurer may ...
... period of time for the dividends or the cash value of the new policy to equal those under the old policy ; and that the prospect may lose the benefits of the " incontestability provision " because the period during which the insurer may ...
Page 17
... periods . The amendment of Rule 17a - 3 requires each exchange member , broker or dealer subject to the rule to ... period , and 20 Securities Exchange Act Release No. 6646 ( October 6 , 1961 ) . 21 Securities Exchange Act Release ...
... periods . The amendment of Rule 17a - 3 requires each exchange member , broker or dealer subject to the rule to ... period , and 20 Securities Exchange Act Release No. 6646 ( October 6 , 1961 ) . 21 Securities Exchange Act Release ...
Page 24
... period affords investors an opportunity to be- come familiar with the proposed offering . Information disclosed in the registration statement is disseminated during the waiting period by means of the preliminary form of prospectus . The ...
... period affords investors an opportunity to be- come familiar with the proposed offering . Information disclosed in the registration statement is disseminated during the waiting period by means of the preliminary form of prospectus . The ...
Page 26
... period , including stock of investment companies , stock for employee plans and stock called for by warrants and ... period also registered a major - sized issue to be sold to employees over an extended period . Financial and real estate ...
... period , including stock of investment companies , stock for employee plans and stock called for by warrants and ... period also registered a major - sized issue to be sold to employees over an extended period . Financial and real estate ...
Contents
v | |
xii | |
16 | |
31 | |
38 | |
xi | |
1 | |
21 | |
172 | |
174 | |
180 | |
186 | |
193 | |
194 | |
205 | |
218 | |
224 | |
26 | |
37 | |
111 | |
157 | |
166 | |
212 | |
218 | |
106 | |
107 | |
118 | |
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.