Proposed Amendments to the Securities Act of 1933 and to the Securities Exchange Act of 1934, Volume 2U.S. Government Printing Office, 1942 - Securities |
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Page 360
... CARROLL REECE , Tennessee JAMES W. WADSWORTH , New York CHARLES A. HALLECK , Indiana OSCAR YOUNGDAHL , Minnesota CARL HINSHAW , California CLARENCE J. BROWN , Ohio RICHARD M. SIMPSON , Pennsylvania GEORGE A. PADDOCK , Illinois п.
... CARROLL REECE , Tennessee JAMES W. WADSWORTH , New York CHARLES A. HALLECK , Indiana OSCAR YOUNGDAHL , Minnesota CARL HINSHAW , California CLARENCE J. BROWN , Ohio RICHARD M. SIMPSON , Pennsylvania GEORGE A. PADDOCK , Illinois п.
Page 385
... Wadsworth . Mr. WADSWORTH . Mr. Stewart , what is your judgment as to why so many issuers now resort to private sales ? Mr. STEWART . Mr. Wadsworth , I have in my notes some 14 points which I would like to develop as I go along and I ...
... Wadsworth . Mr. WADSWORTH . Mr. Stewart , what is your judgment as to why so many issuers now resort to private sales ? Mr. STEWART . Mr. Wadsworth , I have in my notes some 14 points which I would like to develop as I go along and I ...
Page 387
... WADSWORTH . Is the phrase used in the act of 1934 ? Mr. STEWART . Yes , sir . Mr. WADSWORTH . As descriptive of a class of corporations ? Mr. STEWART . It is one of the bases on which the Federal authority takes over the regulations of ...
... WADSWORTH . Is the phrase used in the act of 1934 ? Mr. STEWART . Yes , sir . Mr. WADSWORTH . As descriptive of a class of corporations ? Mr. STEWART . It is one of the bases on which the Federal authority takes over the regulations of ...
Page 388
... WADSWORTH . Mr. Chairman- The CHAIRMAN . Mr. Wadsworth . Mr. WADSWORTH . Would you include in your amendment purchases made by an educational institution such as a university ? Mr. STEWART . This would - they would not be exempted , Mr ...
... WADSWORTH . Mr. Chairman- The CHAIRMAN . Mr. Wadsworth . Mr. WADSWORTH . Would you include in your amendment purchases made by an educational institution such as a university ? Mr. STEWART . This would - they would not be exempted , Mr ...
Page 389
... WADSWORTH . Do you think that the trustee of an endowment fund of a university could go ahead and make purchases ? Mr. STEWART . I certainly think it would not hurt them any if they restricted themselves in the corporate field to the ...
... WADSWORTH . Do you think that the trustee of an endowment fund of a university could go ahead and make purchases ? Mr. STEWART . I certainly think it would not hurt them any if they restricted themselves in the corporate field to the ...
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Common terms and phrases
aggregate American Water amount Association bank loans BOLLARD BOREN Boston buyer capital Casualty CHAIRMAN Clarence F commercial banks Commissioner PURCELL committee corporate cost dealers depositors deposits Detroit Edison Co disclosure distribution dollars ECKER expense fact Federal Reserve System figures financing Fire Insurance FOLGER funds institutional investors insurance companies investment bankers involved issuer issues of securities liability life-insurance life-insurance companies Mass maturity MCGRANERY ment Mutual Fire Mutual Life Insurance National Bank panies participate percent policyholders present private placements private sales privately placed proposed amendment proposed section protection provisions public issues public offering publicly question REECE refunded registration statement regulation represent Savings Bank section 2 14 Securities Act Securities and Exchange securities industry securities sold sell small issues STEWART tabulation term loans tion Trust TWOMBLY underwriters United States branch WADSWORTH yield to maturity York City YOUNGDAHL
Popular passages
Page 362 - The Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation...
Page 391 - Any note, draft, bill of exchange or banker's acceptance which arises out of a current transaction or the proceeds of which have been or are to be used for current transactions...
Page 490 - The name of each public utility holding company, listed in subparagraph (1) of this paragraph which has registered with the Securities and Exchange Commission under the Public Utility Holding Company Act of 1935 (49 Stat.
Page 497 - In cases where financial statements filed with this commission pursuant to its rules and regulations under the securities act of 1933 or the securities exchange act of 1934...
Page 501 - dealer" means any person who engages either for all or part of his time, directly or indirectly, as agent, broker, or principal, in the business of offering, buying, selling, or otherwise dealing or trading in securities issued by another person.
Page 427 - ... (3) financing by the issue and sale of the particular security is not necessary or appropriate to the economic and efficient operation of a business in which the applicant lawfully is engaged or has an interest...
Page 393 - Board shall, as far as possible, use the reports of examinations made by the Comptroller of the Currency, the Federal Deposit Insurance Corporation, or the appropriate State bank supervisory authority for the purposes of this section.
Page 603 - Act of 1958 if it finds, having regard to the purposes of that act, that the enforcement of this act with respect to such securities is not necessary in the public interest and for the protection of investors.
Page 665 - In this connection, you are realists and want facts and I would be less than frank if I did not point out to you that American Jews vigorously repudiate any suggestion or implication that they are in exile.
Page 656 - ... by reason of the small amount involved or the limited character of the public offering...