Decisions and Reports, Volume 25U.S. Government Printing Office, 1953 - Securities |
From inside the book
Results 1-5 of 100
Page 2
... rules and regulations thereunder , and , if so , whether it is necessary or appro- priate for the protection of ... Rule X - 15C2-2 , over the counter , for successive 10 - day periods . The last of these orders suspended trading ...
... rules and regulations thereunder , and , if so , whether it is necessary or appro- priate for the protection of ... Rule X - 15C2-2 , over the counter , for successive 10 - day periods . The last of these orders suspended trading ...
Page 28
... rule of such association . . . which prohibits any act or transaction constituting conduct inconsistent with just and equitable principles of trade , or requires any act the omission of which constitutes conduct inconsistent with just ...
... rule of such association . . . which prohibits any act or transaction constituting conduct inconsistent with just and equitable principles of trade , or requires any act the omission of which constitutes conduct inconsistent with just ...
Page 31
... Rule 26 ( c ) , Article III of the NASD Rules of Fair Practice provides that an underwriter , who is a member of the NASD , may not sell the securities of an open - end investment company to a non - member dealer at a concession from ...
... Rule 26 ( c ) , Article III of the NASD Rules of Fair Practice provides that an underwriter , who is a member of the NASD , may not sell the securities of an open - end investment company to a non - member dealer at a concession from ...
Page 32
... Rule Where registered broker - dealer , despite communications from Commission re- ferring to requirement of Rule calling for filing of financial reports and request- ing that he file such reports , failed to file , held his failure ...
... Rule Where registered broker - dealer , despite communications from Commission re- ferring to requirement of Rule calling for filing of financial reports and request- ing that he file such reports , failed to file , held his failure ...
Page 33
... Rule X - 17A - 5 , promulgated on November 28 , 1942 , pursuant to Section 17 ( a ) of the Act , provides , among other things , that com- mencing January 1 , 1943 , all registered brokers and dealers must submit reports of their ...
... Rule X - 17A - 5 , promulgated on November 28 , 1942 , pursuant to Section 17 ( a ) of the Act , provides , among other things , that com- mencing January 1 , 1943 , all registered brokers and dealers must submit reports of their ...
Other editions - View all
Common terms and phrases
accrued acquisition additional adjustments Amended Plan application appropriate approval assets Atlantic City balance sheet basis Bennett broker-dealer capital surplus cash certificates Cities Commission common stock common stockholders consolidated Corporation debentures debt December 31 depreciation dividends earned surplus effect Escrow estimated fair and equitable Federal filed FINDINGS AND OPINION forma Hamilton Funds hearing held Holding Company Act Illinois Power interest investment company issuance issued liabilities Light & Power merger mortgage bonds NASD North American Ogden outstanding pany par value payment Pepco Power & Light Power Company preferred stock preferred stockholders principal amount pro forma proceedings proposed transactions provisions of Section Public Utility Public Utility Holding purchase pursuant to Section record Red Bank registered holding company requirements reserve respect retirement Section 11 Securities Exchange Act shares of common tion Total Trust Upper Peninsula Utility Holding Company utility plant voting Washington Railway York Curb Exchange
Popular passages
Page 213 - ... 1 ) to employ any device, scheme, or artifice to defraud, (2) to make any untrue statement of a material fact or to omit 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...
Page 204 - ... per centum or more of whose outstanding voting securities are directly or indirectly owned, controlled, or held with power to vote, by such other person; (C) any person directly or indirectly controlling, controlled by, or under common control with, such other person...
Page 377 - To make any untrue statement of a material fact or to omit 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 "(c) To engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security.
Page 342 - 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...
Page 229 - It shall be unlawful for any person, by the use of the mails or by any means or instrumentality of interstate commerce or of any facility of any national securities exchange or otherwise...
Page 369 - ... necessary or appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policy and provisions of this title.
Page 377 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce or of the mails, or of any facility of any national securities exchange— [b] To use or employ, in connection with the purchase or sale of any security registered on a national securities exchange or any security not so registered...
Page 770 - Investors or consumers and not detrimental to the proper functioning of such system or systems. (2) To require by order, after notice and opportunity for hearing, that each registered holding company, and each subsidiary company thereof, shall take such steps as the Commission shall find necessary to ensure that the corporate structure or continued existence of any company in the holdingcompany system does not unduly or unnecessarily complicate the structure, or unfairly or inequitably distribute...
Page 366 - broker" means any person engaged in the business of effecting transactions in securities for the account of others, but does not include a bank.
Page 493 - No solicitation subject to this regulation shall be made by means of any proxy statement, form of proxy, notice of meeting or other communication, written or oral, containing any statement which, at the time and in the light of the circumstances under which it is made, is false or misleading with respect to any material fact, or...