Decisions and Reports, Volume 27U.S. Government Printing Office, 1953 - Securities |
From inside the book
Results 1-5 of 98
Page 6
... 26 , 1939 , Foreign Power filed its notification of registration pursuant to American & Foreign Power Company , Inc. , 6 S. E. C. 397 ( 1939 ) . Section 5 ( a ) of the Act and thereby 27 S. E. C. 6 CO SECURITIES AND EXCHANGE COMMISSION.
... 26 , 1939 , Foreign Power filed its notification of registration pursuant to American & Foreign Power Company , Inc. , 6 S. E. C. 397 ( 1939 ) . Section 5 ( a ) of the Act and thereby 27 S. E. C. 6 CO SECURITIES AND EXCHANGE COMMISSION.
Page 8
... registration under the Act ; that such service fees should be restricted to cost ; and that an accounting of all profits thus realized by Bond and Share should be made . One action , instituted by Harriet E. Weinstein against Sos ...
... registration under the Act ; that such service fees should be restricted to cost ; and that an accounting of all profits thus realized by Bond and Share should be made . One action , instituted by Harriet E. Weinstein against Sos ...
Page 37
... registration until December 1 , 1939 , when Ebasco also made charges for services at a profit . The charges during the first period aggre- gated about $ 4,000,000 , and the profits thereon amounted to approximately $ 1,300,000 . The ...
... registration until December 1 , 1939 , when Ebasco also made charges for services at a profit . The charges during the first period aggre- gated about $ 4,000,000 , and the profits thereon amounted to approximately $ 1,300,000 . The ...
Page 38
... registration can reach beyond the profits taken by Bond and Share ; as to the period sub- sequent to registration , the claim appears to be directed only to profits . And , to the extent that the Goldstein case may be appli- cable , we ...
... registration can reach beyond the profits taken by Bond and Share ; as to the period sub- sequent to registration , the claim appears to be directed only to profits . And , to the extent that the Goldstein case may be appli- cable , we ...
Page 107
... REGISTRATION Denial Proceedings - Willful Violations of Securities Act and Securities Exchange Act Public Interest - Where applicant for registration as a broker and dealer had willfully violated provisions of Securities Act and ...
... REGISTRATION Denial Proceedings - Willful Violations of Securities Act and Securities Exchange Act Public Interest - Where applicant for registration as a broker and dealer had willfully violated provisions of Securities Act and ...
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Common terms and phrases
additional adjustments aggregate amended amortization applicable approval approximately April 30 assets balance sheet basis Bond and Share capital stock Capital surplus cash claims Commission common stock common stockholders company's competitive bidding Corporation debentures December 31 depreciation Detroit Edison dividend requirements earned surplus estimated exemption Federal filed financing Foreign Power forma funds Holding Company Act income deductions interest International Paper Company investment issue and sale liabilities Light Company long-term debt ment Middle West Minnesota Company mortgage bonds net income North West notes operating revenues outstanding pany par value payment Power Company preferred stock preferred stockholders present principal amount prior pro forma proposed transactions Public Service Public Utility Public Utility Holding purchase pursuant registered holding company registration statement reserve respect Section 11 security holders September 30 shares of common Standard Gas Stone & Webster taxes tion total capitalization Utility Holding Company utility plant Wisconsin
Popular passages
Page 622 - 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, "(1) to employ any device, scheme, or artifice to defraud...
Page 622 - ... (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 622 - 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 835 - ... did not know, and in the exercise of reasonable care could not have known, of such untruth or omission...
Page 154 - If it appears to the Commission at any time that the registration statement includes any untrue statement of a material fact or omits to state any material fact required to be stated therein or necessary to make the statements therein not misleading...
Page 937 - investment company" means any issuer which — (1) is or holds itself out as being engaged primarily, or proposes to engage primarily, in the business of investing, reinvesting, or trading in securities...
Page 835 - ... by means of a prospectus or oral communication, which includes an untrue statement of a material fact or omits to state a material fact necessary in order to make the statements, in the light of the circumstances under which they were made, not misleading...
Page 225 - Commission, notwithstanding that such rule or regulation may, after such act or omission, be amended or rescinded or be determined by judicial or other authority to be invalid for any reason.
Page 464 - The Commission may permit as reasonably Incidental, or economically necessary or appropriate to the operations of one or more Integrated public-utility systems the retention of an Interest in any business (other than the business of a public-utility company as such) which the Commission shall find necessary or appropriate In the public Interest or for the protection of Investors or consumers and not detrimental to the proper functioning of such system or systems.
Page 935 - No promoter of a proposed investment company, and no underwriter for such a promoter, shall make use of the mails or any means or instrumentality of interstate commerce, directly or indirectly, to offer for sale, sell, or deliver after sale, in connection with a public offering, any preorganization certificate or subscription for such a company.