Decisions and Reports, Volume 11U.S. Government Printing Office, 1945 - Securities |
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Results 1-5 of 100
Page 1
... SECURITIES BY REGISTERED HOLDING COMPANY . Sale by registered holding company of common stock of a subsidiary registered holding company , which subsidiary holding company owns equity securities of public utility companies , held ...
... SECURITIES BY REGISTERED HOLDING COMPANY . Sale by registered holding company of common stock of a subsidiary registered holding company , which subsidiary holding company owns equity securities of public utility companies , held ...
Page 40
... SECURITIES PURSUANT TO SECTION 6 ( b ) ; ACQUISITION OF SECURITIES OF PUBLIC UTILITY COMPANY ; EXEMPTION FROM RULE U - 50 RELATING TO COMPETITIVE BIDDING ; RETIREMENT OF SECURITIES . Public utility company , subsidiary of registered ...
... SECURITIES PURSUANT TO SECTION 6 ( b ) ; ACQUISITION OF SECURITIES OF PUBLIC UTILITY COMPANY ; EXEMPTION FROM RULE U - 50 RELATING TO COMPETITIVE BIDDING ; RETIREMENT OF SECURITIES . Public utility company , subsidiary of registered ...
Page 62
... securities on national securities exchanges in the following language : It shall be unlawful for any person to effect any transaction in any security on a national securities exchange unless a registration is effective as to such ...
... securities on national securities exchanges in the following language : It shall be unlawful for any person to effect any transaction in any security on a national securities exchange unless a registration is effective as to such ...
Page 73
... ( Securities Exchange Act of 1934 - Section 15 ( b ) ) BROKER - DEALER REGISTRATION . Grounds for Revocation , Suspension and Denial . Violations of the Securities Act and the Securities Exchange Act . Where a broker or dealer sold securities ...
... ( Securities Exchange Act of 1934 - Section 15 ( b ) ) BROKER - DEALER REGISTRATION . Grounds for Revocation , Suspension and Denial . Violations of the Securities Act and the Securities Exchange Act . Where a broker or dealer sold securities ...
Page 76
... securities from respondent or William E. Housel , Inc. , the cost to the Service Company of such securities would be no more than 110 percent of the cost to the respondent or William E. Housel , Inc. , when in fact , as respondent knew ...
... securities from respondent or William E. Housel , Inc. , the cost to the Service Company of such securities would be no more than 110 percent of the cost to the respondent or William E. Housel , Inc. , when in fact , as respondent knew ...
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Common terms and phrases
acquisition appropriate approval assets balance sheet Boston Stock Exchange capital surplus carrying value cash Columbia Gas Commission common stock Commonwealth consolidated dealer debentures December 31 depreciation reserve Detroit Stock Exchange dividends earned surplus Electric Company exemption filed FINDINGS AND OPINION Gas and Electric Gas Company held Holding Company Act holding company system Illinois Iowa income issuance issue Light & Power Light Company North American operating outstanding pany par value payment percent Philadelphia Stock Exchange Power and Light Power Company preferred stock principal amount proceeding properties proposed public interest Public Service Company Public Utility Holding purchase pursuant to Section record registered holding company registrant registrant's reorganization requirements reserve respect respondent Rule Section 11 Securities Exchange Act security holders shares Southwestern Stock Exchange stockholders subsidiary companies tion Total transactions trust utility company Utility Holding Company voting power York Curb Exchange York Stock Exchange
Popular passages
Page 154 - In the holdingcompany system does not unduly or unnecessarily complicate the structure, or unfairly or inequitably distribute voting power among security holders, of such holdingcompany system.
Page 641 - ... in connection with, the distribution of any security or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in the direct or indirect underwriting of any such undertaking; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary distributor's or seller's commission. As used in this paragraph the term "issuer...
Page 635 - No broker or dealer shall make use of the mails or of any means or instrumentality of interstate commerce to effect any transaction in, or to induce or attempt to induce the purchase or sale of, any security (other than an exempted security or commercial paper, bankers...
Page 707 - ... per centum or more of whose outstanding voting securities are directly or indirectly owned, controlled, or held with power to vote, by such...
Page 635 - ... (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 214 - States, or in a contiguous foreign country; and (C) The continued combination of such systems under the control of such holding company is not so large (considering the state of the art and the area or region affected) as to impair the advantages of localized management, efficient operation, or the effectiveness of regulation.
Page 207 - And be it further enacted, That the said State shall consist of all the territory included within the following boundaries, to wit...
Page 597 - It shall be unlawful for any person in the offer or sale of any securities by the use of any means or instruments of transportation or communication in interstate commerce or by the use of the mails, directly or indirectly — (1) to employ any device, scheme, or artifice to defraud, or...
Page 641 - SEC. 5. (a) Unless a registration statement is in effect as to a security, it shall be unlawful for any person, directly or indirectly — (1) to make use of any means or instruments of transportation or communication in interstate commerce or of the mails to sell or offer to buy such security through the use or medium of any prospectus or otherwise...
Page 856 - ... is engaged or proposes to engage in the business of investing, reinvesting, owning, holding, or trading in securities, and owns or proposes to acquire investment securities having a value exceeding 40 per centum of the value of such issuer's total assets (exclusive of Government securities and cash items) on an unconsolidated basis. As used in this section, "investment securities" includes all securities except (A) Government securities, (B) securities issued by employees' securities companies,...