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 364
... less made by or through an underwriter , so as to permit an issuer to make a specific or an isolated sale of its securities to a particular per- son , but insisting that if a sale of the issuer's securities should be made generally to ...
... less made by or through an underwriter , so as to permit an issuer to make a specific or an isolated sale of its securities to a particular per- son , but insisting that if a sale of the issuer's securities should be made generally to ...
Page 365
... less importance and relate only to a relatively small amount of securities these securities were sold without making public disclosure of the important facts concerning each issue which are required to be made public through ...
... less importance and relate only to a relatively small amount of securities these securities were sold without making public disclosure of the important facts concerning each issue which are required to be made public through ...
Page 366
... less have been regarded and assumed as bank loans rather than security issues and for this reason , they have not been included in the figures relating to this financing contained in this compilation . Moreover , railroad securities ...
... less have been regarded and assumed as bank loans rather than security issues and for this reason , they have not been included in the figures relating to this financing contained in this compilation . Moreover , railroad securities ...
Page 374
... less interested in the competitive injustice that might occur to you folks than I am in that principle , and I know that you will fully develop it here . We do not care so much about you fellows , you know , as an individual group , as ...
... less interested in the competitive injustice that might occur to you folks than I am in that principle , and I know that you will fully develop it here . We do not care so much about you fellows , you know , as an individual group , as ...
Page 379
... less than $ 3,000,000 ? Mr. STEWART . I think that a transaction of the nature of that which you have mentioned would be treated as a transaction subject to the registration requirements of the act today . I think perhaps that the ...
... less than $ 3,000,000 ? Mr. STEWART . I think that a transaction of the nature of that which you have mentioned would be treated as a transaction subject to the registration requirements of the act today . I think perhaps that 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...