Decisions and Reports, Volume 25U.S. Government Printing Office, 1953 - Securities |
From inside the book
Results 1-5 of 100
Page 2
... connection with such financial statements . In our Findings and Opinion of January 4 , 1946 , which dealt with the two severed issues , we found that Ulan Hill & Company , the firm which had certified the financial statements under ...
... connection with such financial statements . In our Findings and Opinion of January 4 , 1946 , which dealt with the two severed issues , we found that Ulan Hill & Company , the firm which had certified the financial statements under ...
Page 8
... connection with the acquisition of the Seatex stock are included in the above figures . As a commission Seagraves received 15,067 shares of Red Bank stock and the $ 15,000 in cash paid by Red Bank , Mills received 1,667 shares of Red ...
... connection with the acquisition of the Seatex stock are included in the above figures . As a commission Seagraves received 15,067 shares of Red Bank stock and the $ 15,000 in cash paid by Red Bank , Mills received 1,667 shares of Red ...
Page 9
... connection with the acquisition of Seatex stock , 25,739 shares were pledged on the $ 100,000 note of Federal Steel Products to San Andres Production Company , and 175,000 shares were pledged with Frank W. Bennett & Company to secure ...
... connection with the acquisition of Seatex stock , 25,739 shares were pledged on the $ 100,000 note of Federal Steel Products to San Andres Production Company , and 175,000 shares were pledged with Frank W. Bennett & Company to secure ...
Page 14
... connected with the ac- quisition of these subsidiaries and failed to indicate as such the obli- gations incurred to the Bennett interests in connection therewith . Fixed Assets . - Red Bank's interest in its Mitchell producing royal ...
... connected with the ac- quisition of these subsidiaries and failed to indicate as such the obli- gations incurred to the Bennett interests in connection therewith . Fixed Assets . - Red Bank's interest in its Mitchell producing royal ...
Page 15
... connection it may be noted that in purchasing certain assets from the Federal Oil Company in 1943 , as indicated above , for a total of $ 74,243 , Red Bank assumed indebtedness to the Reserve Loan Life Insurance Company and others of ...
... connection it may be noted that in purchasing certain assets from the Federal Oil Company in 1943 , as indicated above , for a total of $ 74,243 , Red Bank assumed indebtedness to the Reserve Loan Life Insurance Company and others of ...
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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...