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 363
... appears in the committee print beginning at page 9 . The whole scope of the Securities Act of 1933 , as an act to provide for the full and fair disclosure of information as to the character of securities sold in interstate commerce , is ...
... appears in the committee print beginning at page 9 . The whole scope of the Securities Act of 1933 , as an act to provide for the full and fair disclosure of information as to the character of securities sold in interstate commerce , is ...
Page 367
... appears to me that , probably not as a matter of practice but as a matter of possibility , that there is certainly an open gate there for a firm to become a purchasing and selling agent . Mr. STEWART . Well , there is ; yes . Except for ...
... appears to me that , probably not as a matter of practice but as a matter of possibility , that there is certainly an open gate there for a firm to become a purchasing and selling agent . Mr. STEWART . Well , there is ; yes . Except for ...
Page 368
... appears in the record at page 366 is to relate the amount of securities sold without registra- tion to the total amount of domestic corporate financing and of financ- ing through issues of foreign dollar bonds , which has occurred in ...
... appears in the record at page 366 is to relate the amount of securities sold without registra- tion to the total amount of domestic corporate financing and of financ- ing through issues of foreign dollar bonds , which has occurred in ...
Page 371
... appears in table B. I do not think that materially affects the figures . But it is shown in the heading that the figures relate only to corporate securities sold in transactions exempted from the Securities Act registration as not ...
... appears in table B. I do not think that materially affects the figures . But it is shown in the heading that the figures relate only to corporate securities sold in transactions exempted from the Securities Act registration as not ...
Page 383
... appears nowhere in the act . That is not a statutory term and we contend that there is nothing " private " about most of the offerings which have gone through under the exemption which has been permitted in view of the present pro ...
... appears nowhere in the act . That is not a statutory term and we contend that there is nothing " private " about most of the offerings which have gone through under the exemption which has been permitted in view of the present pro ...
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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...