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 367
... buyer is buying as an underwriter , with a view to the immediate resale of the securities , the exemption would not be available . Of course , there is this loophole : If he , in good faith buys today with a view to holding the security ...
... buyer is buying as an underwriter , with a view to the immediate resale of the securities , the exemption would not be available . Of course , there is this loophole : If he , in good faith buys today with a view to holding the security ...
Page 368
... buyers are acting as trustees for others . They are not acting for themselves , with their own money ; and it seems to me that there would be a duty resting on them , if they should learn of any facts showing that the securities which ...
... buyers are acting as trustees for others . They are not acting for themselves , with their own money ; and it seems to me that there would be a duty resting on them , if they should learn of any facts showing that the securities which ...
Page 375
... buyers came in . This theory operated to help the big fellows enormously . The exemption was made available where a limited number of banks , insurance companies , or other purchasers said that they were buying the securities for invest ...
... buyers came in . This theory operated to help the big fellows enormously . The exemption was made available where a limited number of banks , insurance companies , or other purchasers said that they were buying the securities for invest ...
Page 383
... buyer . There may be 20 buyers in a transaction , buying an issue of bonds . The theory under which the exemption is avail- ble , and the theory that is required to be followed by the New York State law in any such transaction subject ...
... buyer . There may be 20 buyers in a transaction , buying an issue of bonds . The theory under which the exemption is avail- ble , and the theory that is required to be followed by the New York State law in any such transaction subject ...
Page 384
... buyer or buyers and say to them , " Here is a deal com- ing along . Perhaps you would like to take X amount . We are taking Xamount . Our boys will work out the terms of the agree- ment . " That is what we call syndication in the ...
... buyer or buyers and say to them , " Here is a deal com- ing along . Perhaps you would like to take X amount . We are taking Xamount . Our boys will work out the terms of the agree- ment . " That is what we call syndication in 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...