District of Columbia Securities Act: Hearings...88-2...March 5, 19, and April 29, 19641964 - 131 pages |
From inside the book
Results 1-5 of 31
Page 4
... application together with a consent to service of process pursuant to section 15 ( f ) of this Act . The application shall contain a statement of- ( 1 ) the applicant's form and place of organization ; ( 2 ) the applicant's proposed ...
... application together with a consent to service of process pursuant to section 15 ( f ) of this Act . The application shall contain a statement of- ( 1 ) the applicant's form and place of organization ; ( 2 ) the applicant's proposed ...
Page 5
... application therefor withdrawn , the Commission is authorized to refund one - half of the fee and such refunds shall be made in the same manner as other refunds are made by the District . ( c ) A licensed broker - dealer may file an ...
... application therefor withdrawn , the Commission is authorized to refund one - half of the fee and such refunds shall be made in the same manner as other refunds are made by the District . ( c ) A licensed broker - dealer may file an ...
Page 6
... application for a license which as of its effective date , or as of any date after filing in the case of an order denying effectiveness , was incomplete in any material respect or contained any statement which was , in light of the ...
... application for a license which as of its effective date , or as of any date after filing in the case of an order denying effectiveness , was incomplete in any material respect or contained any statement which was , in light of the ...
Page 7
... application . ( e ) Withdrawal of a license of a broker - dealer or agent shall become effective thirty days after receipt of an application to withdraw or within such shorter period of time as the Commission may determine , unless a ...
... application . ( e ) Withdrawal of a license of a broker - dealer or agent shall become effective thirty days after receipt of an application to withdraw or within such shorter period of time as the Commission may determine , unless a ...
Page 10
... application or offering need not file another . Service may be made by leaving a copy of the process in the office of the Commission , but it shall not be effective unless ( 1 ) the plaintiff forthwith shall send notice of the service ...
... application or offering need not file another . Service may be made by leaving a copy of the process in the office of the Commission , but it shall not be effective unless ( 1 ) the plaintiff forthwith shall send notice of the service ...
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.