Laws Relating to Securities Commission, Exchanges and Holding CompaniesU.S. Government Printing Office, 1968 - Corporation law |
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Page iv
... Amount recoverable .. 12. Civil Liabilities Arising in Connection with Prospectus and Communi- cations___ 13. Limitation of Actions_ 14. Contrary Stipulations Void ... 15. Liability of Controlling Persons .. 17. Fraudulent Interstate ...
... Amount recoverable .. 12. Civil Liabilities Arising in Connection with Prospectus and Communi- cations___ 13. Limitation of Actions_ 14. Contrary Stipulations Void ... 15. Liability of Controlling Persons .. 17. Fraudulent Interstate ...
Page viii
... amount of annual exchange fees ---- 82. Penalties : 49 , 162 49 49 50 50 50 50 50 98 8 8 2 80 do ( 1 ) Wilful violations__ . 50 , 129 Amount of fines , terms and conditions upon which im- prisonment may be imposed___ 50 , 129 , 163 83 ...
... amount of annual exchange fees ---- 82. Penalties : 49 , 162 49 49 50 50 50 50 50 98 8 8 2 80 do ( 1 ) Wilful violations__ . 50 , 129 Amount of fines , terms and conditions upon which im- prisonment may be imposed___ 50 , 129 , 163 83 ...
Page xi
... amount of credit that may be initially extended and subsequently maintained on any security ( other than an exempted security ) regis- tered on a national securities exchange . For the initial extension of credit , such rules and ...
... amount of credit that may be initially extended and subsequently maintained on any security ( other than an exempted security ) regis- tered on a national securities exchange . For the initial extension of credit , such rules and ...
Page xvii
... amount certificate company may invest in securities of two other such companies under certain conditions --- ( g ) Provisions regarding purchase of voting stock of insurance companies 18. Changes in Investment Policy .. 219 219 220 220 ...
... amount certificate company may invest in securities of two other such companies under certain conditions --- ( g ) Provisions regarding purchase of voting stock of insurance companies 18. Changes in Investment Policy .. 219 219 220 220 ...
Page 10
... amount of such commission paid to each underwriter shall be stated ; ( 18 ) the amount or estimated amounts , itemized in reasonable detail , of expenses , other than commissions specified in paragraph ( 17 ) of this schedule , incurred ...
... amount of such commission paid to each underwriter shall be stated ; ( 18 ) the amount or estimated amounts , itemized in reasonable detail , of expenses , other than commissions specified in paragraph ( 17 ) of this schedule , incurred ...
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Common terms and phrases
amount application approval assets authority bank holding company broker or dealer centum Commission may prescribe contract corporation court creditors debtor debtor in possession deems necessary directly or indirectly face-amount certificate company Federal Reserve System filed indenture trustee instrumentality of interstate interstate commerce investment adviser investors or consumers issuer jurisdiction liability licensee mails means or instrumentality ment national securities exchange necessary or appropriate notice and opportunity obligor officer opportunity for hearing order thereunder otherwise pany paragraph payment petition prescribe as necessary prior proceeding protection of investors public interest public utility public-utility company purchase purposes pursuant reasonable registered holding company registered investment company registration statement regulations or order regulations thereunder respect rule or regulation rules and regulations Securities Act security issued specified stockholders suant subsection subsidiary company thereof tion transactions treasury stock underwriter unit investment trust United unlawful violation
Popular passages
Page 245 - ... securities act of 1933, as amended in 1934, are relevant. These sections follow: "Sec. 2. 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...
Page 100 - 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; but no individual shall be prosecuted or subjected to any penalty or forfeiture for or on account of any transaction, matter, or thing concerning which he is compelled, after having claimed his privilege against self-incrimination...
Page 239 - Commission under this title may obtain a review of such order in the circuit court of appeals of the United States within any circuit wherein such person resides or has his principal place of business, or in the United States Court of Appeals for the District of Columbia, by filing in such court, within sixty days after the entry of such order, a written petition praying that the order of the Commission be modified or set aside in whole or in part.
Page 28 - Board, on the ground that the testimony or evidence required of him may tend to incriminate him or subject him to a penalty or forfeiture; but no individual shall be prosecuted or subjected to any penalty or forfeiture for or on account of any transaction, matter, or thing concerning which he is compelled, after having claimed his privilege against self-incrimination, to testify or produce evidence, except that such individual so testifying shall not be exempt from prosecution and punishment for...
Page 252 - Commission shall be final, subject to review by the Supreme Court of the United States upon certiorari or certification as provided in sections 239 and 240 of the Judicial Code, as amended. (b) The commencement of proceedings under subsection (a) shall not, unless specifically ordered by the court, operate as a stay of the Commission's order.
Page 45 - ... 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 153 - Any person who — ( 1 ) offers or sells a security in violation of section 5, or (2) offers or sells a security (whether or not exempted by the provisions of section 3, other than paragraph (2) of subsection (a) thereof), by the use of any means or instruments of transportation or communication in interstate commerce or of the mails...
Page 75 - Territorial courts, of all suits in equity and actions at law brought to enforce any liability or duty created by, or to enjoin any violation of, this title or the rules, regulations, or orders thereunder.
Page xv - ... any note, draft, bill of exchange, or banker's acceptance which has a maturity at the time of issuance of not exceeding nine months, exclusive of days of grace, or any renewal thereof the maturity of which is likewise limited. (11) The term "equity security...
Page 100 - If a witness whose testimony may be desired to be taken by deposition be in a foreign country, the deposition may be taken before an officer or person designated by the Commission, or agreed upon by the parties by stipulation in writing to be filed with the Commission.