SEC Legislation: Hearings Before a Subcommittee of the Committee on Banking and Currency, United States Senate, Eighty-sixth Congress, First Session, on S. 1178 [and Other] Bills to Amend the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940 ...Considers S. 1178 and related bills, to expand SEC jurisdictional authority, operations, and enforcement procedures. |
From inside the book
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... customers ' securities Letter on further amendments to Federal securities laws ... Robinson , James W. , attorney , New York , N.Y .: Report on S. 1178 : Section 3 . Sections 5 and 10 .. Securities and Exchange Commission : Proposed ...
... customers ' securities Letter on further amendments to Federal securities laws ... Robinson , James W. , attorney , New York , N.Y .: Report on S. 1178 : Section 3 . Sections 5 and 10 .. Securities and Exchange Commission : Proposed ...
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... customers ' securities by a broker or dealer ; ( 4 ) make it clear that attempts to purchase or sell securities are covered by the antifraud provisions of the statute ; ( 5 ) revise the provisions relating to broker and dealer ...
... customers ' securities by a broker or dealer ; ( 4 ) make it clear that attempts to purchase or sell securities are covered by the antifraud provisions of the statute ; ( 5 ) revise the provisions relating to broker and dealer ...
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... customers ; fifth , proposals to clarify and make more workable provisions in regard to the suspension of trading in securities ; and sixth , proposals to clarify and strengthen provisions in regard to the regulation of securities ...
... customers ; fifth , proposals to clarify and make more workable provisions in regard to the suspension of trading in securities ; and sixth , proposals to clarify and strengthen provisions in regard to the regulation of securities ...
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... customers ' funds or securities in connection with securities transactions , it does not contain any express prohibition against embezzling or converting them . The new section would cover the latter type of misconduct . The distinction ...
... customers ' funds or securities in connection with securities transactions , it does not contain any express prohibition against embezzling or converting them . The new section would cover the latter type of misconduct . The distinction ...
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... customers ' se- curities , and the practice of " when issued " trading over - the - counter . Section 8 ( b ) of the present act makes it unlawful for a member of a national securities exchange , or any broker or dealer who transacts a ...
... customers ' se- curities , and the practice of " when issued " trading over - the - counter . Section 8 ( b ) of the present act makes it unlawful for a member of a national securities exchange , or any broker or dealer who transacts a ...
Common terms and phrases
85th Congress affiliated persons Alleghany Alleghany Corp Alleghany's application for registration assets association authority bill broker or dealer broker-dealer brokers and dealers carrier centum Chairman Commission's committee common stock Congress corporation court directors effective date employee Exchange Commission exemption face-amount certificate company filed injunction Interstate Commerce Act Interstate Commerce Commission Investment Advisers Act Investment Company Act investment counsel issuance issuer jurisdiction LOOMIS national securities exchange necessary or appropriate offering circular outstanding pany paragraph percent preferred stock prescribe principal underwriter proceeding prohibit proposed amendment protection of investors public interest purchase pursuant railroad registered investment company registration statement respect rule or regulation rules and regulations section 15 section 8(b Securities Act Securities and Exchange Securities Exchange Act Senator BUSH Senator WILLIAMS specific statute stockholders subcommittee thereof thereunder tion trading transactions trustee U.S. Senate unlawful violation withdrawal York Stock Exchange
Popular passages
Page 503 - Commission shall be final, subject to review by the Supreme Court of the United States upon certiorari or certification as provided in sections 239 and 240 of the Judicial Code, as amended. (b) The commencement of proceedings under subsection (a) shall not, unless specifically ordered by the court, operate as a stay of the Commission's order.
Page 324 - Commission shall certify and file in the court a transcript of the record upon which the order complained of was entered. Upon the filing of such transcript such court shall have exclusive jurisdiction to affirm, modify, and enforce or set aside such order, in whole or in part.
Page 417 - Security" means any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profitsharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas, or other mineral rights, or, in general, any interest or instrument commonly known as a "security...
Page 503 - No objection to the order of the Commission shall be considered by the court unless such objection shall have been urged before the Commission or unless there were reasonable grounds for failure so to do.
Page 324 - Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper. The Commission may modify its findings as to the facts or make new findings, by reason of the additional evidence so taken, and it shall file such modified or new findings, which if supported by substantial evidence shall be conclusive...
Page 257 - ... or wherever the defendant may be found. 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.
Page 324 - ... before the Commission, the court may order such additional evidence to be taken before the Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper.
Page 270 - ... no individual shall be prosecuted or subject to any penalty or forfeiture for or on account of any transaction, matter, or thing concerning which he is compelled, after having claimed his privilege against self-incrimination, to testify or produce evidence, documentary or otherwise, except that such individual so testifying shall not be exempt from prosecution and punishment for perjury committed in so testifying.
Page 270 - Commission, on the ground that the testimony or evidence, documentary or otherwise, required of him, may tend to incriminate him or subject him to a penalty or forfeiture...
Page 455 - That any person who shall neglect or refuse to attend and testify, or to answer any lawful inquiry, or to produce documentary evidence, if in his power to do so, in obedience to the subpoena or lawful requirement of the commission...