Proposed Amendments to the Securities Act of 1933 and to the Securities Exchange Act of 1934, Volume 2U.S. Government Printing Office, 1942 - Securities |
From inside the book
Results 1-5 of 51
Page 365
... dealers who have acted as agents in placing securities for issuers . Mr. STEWART . This compilation , gentlemen , shows that in the 8 - year period from 1933 to 1940 , $ 4,409,853,985 of securities were sold , as stated here , in ...
... dealers who have acted as agents in placing securities for issuers . Mr. STEWART . This compilation , gentlemen , shows that in the 8 - year period from 1933 to 1940 , $ 4,409,853,985 of securities were sold , as stated here , in ...
Page 366
... dealers or underwriters . This figure aggregates $ 4,409,853,985 , and represents 24 percent of all the new financing of all of the refunding and new capital financ- ing by corporate issuers in the United States during the 8 - year ...
... dealers or underwriters . This figure aggregates $ 4,409,853,985 , and represents 24 percent of all the new financing of all of the refunding and new capital financ- ing by corporate issuers in the United States during the 8 - year ...
Page 375
... dealer and investment banking organizations has diminished quite materially in recent years . The situation in which the investment banking business and the dealer organizations find themselves today is that they are being told that ...
... dealer and investment banking organizations has diminished quite materially in recent years . The situation in which the investment banking business and the dealer organizations find themselves today is that they are being told that ...
Page 385
... dealer , and the theory is that if there is no commission or " spread " available to the underwriter or the dealer that that amount is saved ; but it is only saved if the price which is received from the direct purchaser is as high or ...
... dealer , and the theory is that if there is no commission or " spread " available to the underwriter or the dealer that that amount is saved ; but it is only saved if the price which is received from the direct purchaser is as high or ...
Page 403
... dealer therein ; or ( 3 ) The business of purchasing and selling bonds , stocks , or other securities upon the order and for the account of others . The investment banking business does not create savings ; it can do no more than ...
... dealer therein ; or ( 3 ) The business of purchasing and selling bonds , stocks , or other securities upon the order and for the account of others . The investment banking business does not create savings ; it can do no more than ...
Other editions - View all
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...