District of Columbia Securities Act: Hearings...88-2...March 5, 19, and April 29, 19641964 - 131 pages |
From inside the book
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Page 1
... Agent " means any individual other than a broker - dealer who represents a broker - dealer or issuer in effecting or attempting to effect purchases or sales of securities . " Agent " does not include any individual who represents an ...
... Agent " means any individual other than a broker - dealer who represents a broker - dealer or issuer in effecting or attempting to effect purchases or sales of securities . " Agent " does not include any individual who represents an ...
Page 4
... agent unless the agent is effectively licensed under this Act . The license of an agent shall not be effective during any period when he is not associated with a par- ticular broker - dealer or a particular issuer . When an agent begins ...
... agent unless the agent is effectively licensed under this Act . The license of an agent shall not be effective during any period when he is not associated with a par- ticular broker - dealer or a particular issuer . When an agent begins ...
Page 5
... agent who is a partner , officer , or director , or a person occupying a similar status or performing similar functions . ( b ) An applicant for an initial or renewal license shall pay a filing fee . The filing fee for a broker - dealer ...
... agent who is a partner , officer , or director , or a person occupying a similar status or performing similar functions . ( b ) An applicant for an initial or renewal license shall pay a filing fee . The filing fee for a broker - dealer ...
Page 6
... agent to file with the Commission any prospectus , pamphlet , circular , form let- ter , advertisement , or other ... agent ; ( 6 ) is the subject of an order entered within the past five years by the securities administrator of any ...
... agent to file with the Commission any prospectus , pamphlet , circular , form let- ter , advertisement , or other ... agent ; ( 6 ) is the subject of an order entered within the past five years by the securities administrator of any ...
Page 7
... agent of the broker - dealer . ( 2 ) The Commission may not enter an order solely on the basis of lack of experience if the applicant or licensee is qualified by training or knowledge or both . ( 3 ) The Commission shall consider that ...
... agent of the broker - dealer . ( 2 ) The Commission may not enter an order solely on the basis of lack of experience if the applicant or licensee is qualified by training or knowledge or both . ( 3 ) The Commission shall consider that ...
Common terms and phrases
ACHESON amended Annuity Life Insurance Association of Securities Better Business Bureau bill bond broker-dealer or agent brokers CARY certificate Chairman Columbia Securities Act committee CONGLETON Congress D.C. Code definition of security District of Columbia dual regulation effective Exchange Commission exclude variable annuities exempt filed GILBERTSON hearing House Insurance Act insurance company Investment Company Act issued issuer jurisdiction legislation LOOMIS ment mutual fund NASD offer problem proceeding proposed provisions Prudential public interest Public Service Commission Public Utilities Commission purchase pursuant question regulatory require rule or order sale of variable Securities and Exchange securities business Securities Dealers securities law sellers selling securities selling variable annuities Senator DOMINICK Senator HARTKE service of process specifically statement statute subcommittee Superintendent of Insurance Supreme Court surety bond suspension tion transaction U.S. attorney U.S. Senate Uniform Act Uniform Securities Act VALIC VANCE HARTKE variable annuity contracts violation Washington
Popular passages
Page 16 - ... security" or any certificate of interest or participation in, temporary or interim certificate for, receipt for, guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing.
Page 21 - ... 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 (the purchaser not knowing of such untruth or omission...
Page 16 - 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 4 - When used in this title, unless the context otherwise requires — (1) the term "security" means any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas, or other mineral rights, or, in...
Page 20 - Commission, on the ground that the testimony or evidence, documentary or otherwise, required of him may tend to incriminate him or subject him to a penalty or forfeiture...
Page 58 - Commission or any officer designated by it is empowered to administer oaths and affirmations, subpena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, or other records which the Commission deems relevant or material to the inquiry.
Page 71 - No policy of group insurance shall be issued or delivered in this state unless and until a copy of the form thereof has been filed with the commissioner of insurance and approved by him; nor shall such policy be so issued or delivered unless it contains in substance the following provisions.
Page 15 - Any security exchanged by the issuer with its existing security holders exclusively where no commission or other remuneration is paid or given directly or indirectly for soliciting such exchange...
Page 20 - The Commission may, in its discretion, make such investigations as it deems necessary to determine whether any person has violated or is about to violate...
Page 11 - ... is filed in the case on or before the return day of the process, if any, or within such further time as the court allows.