Decisions and Reports, Volume 5U.S. Government Printing Office, 1941 - Securities |
From inside the book
Results 1-5 of 100
Page 12
... effect . Section 5 ( d ) provides that when such order shall become effective , registration of the trustee as a holding company shall cease to be in effect . An appropriate order will issue . By the Commission : Commissioner Eicher was ...
... effect . Section 5 ( d ) provides that when such order shall become effective , registration of the trustee as a holding company shall cease to be in effect . An appropriate order will issue . By the Commission : Commissioner Eicher was ...
Page 16
... effect compromises of some claims against the debtor and certain wholly owned subsidiaries . Because of these contingencies we deem it advisable to limit the initial amount which the applicant may expend for the purposes of this ...
... effect compromises of some claims against the debtor and certain wholly owned subsidiaries . Because of these contingencies we deem it advisable to limit the initial amount which the applicant may expend for the purposes of this ...
Page 19
... effect compromises of some claims against the debtor and certain wholly owned subsidiaries . Because of these contingencies we deem it advisable to limit the initial amount which the applicant may expend for the purposes of this ...
... effect compromises of some claims against the debtor and certain wholly owned subsidiaries . Because of these contingencies we deem it advisable to limit the initial amount which the applicant may expend for the purposes of this ...
Page 28
... effect to the proposed financing , funded debt will be increased to $ 22,023,000 , which will increase this ratio to 58.7 percent . It should be noted that $ 4,000,000 of such debt will be unsecured notes , which are to be retired ...
... effect to the proposed financing , funded debt will be increased to $ 22,023,000 , which will increase this ratio to 58.7 percent . It should be noted that $ 4,000,000 of such debt will be unsecured notes , which are to be retired ...
Page 34
... effect that a member holding an order shall check both the primary and the local market and execute the order in the more favorable of the two , the Exchange adopted the following rule : Unless a customer specifies the market in which ...
... effect that a member holding an order shall check both the primary and the local market and execute the order in the more favorable of the two , the Exchange adopted the following rule : Unless a customer specifies the market in which ...
Contents
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146 | |
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Other editions - View all
Common terms and phrases
acquired acquisition aggregate amended applicant's approval April 30 assets basis book value Boston Stock Exchange capital stock capital surplus cash charges Cities Service Company Commission finding common stock cost debentures debtor December 31 declarant declarant's depreciation depreciation reserve dividends earned surplus effect Electric Company exemption expenses fees filed financing FINDINGS AND OPINION Gas Company gross Hermiston holders Holding Company Act income indenture investment issuance issue and sale Light Company March 31 mortgage bonds outstanding paid pany par value payment percent Philadelphia Stock Exchange plant Power & Light Power Company principal amount promissory note property account proposed protection of investors provisions of Section public interest Public Service Public Utility Holding purchase pursuant to Section refunding registered holding company reorganization requirements reserve retirement Section 12 Stock Exchange stockholders subsidiary company terms and conditions tion transactions trustee underwriters unlisted trading privileges Utility Holding Company voting York Curb Exchange
Popular passages
Page 1009 - underwriter" means any person who has purchased from an issuer with a view to, or offers or sells for an issuer in connection with, the distribution of any security, or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in the direct or indirect underwriting of any such undertaking; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary...
Page 270 - Unless a registration statement is in effect as to a security, it shall be unlawful for any person, directly or indirectly— (1) to make use of any means or instruments of transportation or communication in interstate commerce or of the mails...
Page 269 - ... (1) to employ any device, scheme, or artifice to defraud, or (2) to obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading, or (3) to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser.
Page 625 - No broker or dealer shall make use of the mails or of any means or Instrumentality of interstate commerce to effect any transaction in. or to induce the purchase or sale of, any security (other than commercial paper, bankers...
Page 128 - And, in order to ascertain that value, the original cost of construction, the amount expended in permanent improvements, the amount and market value of its bonds and stock, the present as compared with the original cost of construction, the probable earning capacity of the property under particular rates prescribed by statute, and the sum required to meet operating expenses, are all matters for consideration, and are to be given such weight as may be just and right in each case. We do not say that...
Page 109 - The true test of the sufficiency of an indictment Is not whether it could have been made more definite and certain, but whether It contains the elements of the offense Intended to be charged, and "sufficiently apprises the defendant of what he must be prepared to meet...
Page 200 - It shall be unlawful for any registered holding company or subsidiary company thereof, by use of the mails or any means or instrumentality of interstate commerce, or otherwise, to...
Page 68 - ... named as having prepared or certified a report or valuation (other than a public official document or statement) which Is used in connection with the registration statement, but is not named as having prepared or certified such report or valuation for use in connection with the registration statement...
Page 555 - ... he may cast all of such votes for a single director or may distribute them among the number to be voted for, or any two or more of them as he may see fit, which right, when exercised, shall be termed cumulative voting.
Page 1019 - ... such rules and regulations or orders as the Commission deems necessary or appropriate to protect the financial integrity of companies in...