SEC Legislation, 1963: Hearings Before a Subcommittee of the Committee on Banking and Currency, United States Senate, Eighty-eighth Congress, First Session, on S. 1642, a Bill to Amend the Securities Act of 1933, as Amended, and the Securities Exchange Act of 1934, as Amended, to Extend Disclosure Requirements to the Issuers of Additional Publicly Traded Securities, to Provide for Improved Qualification and Discliplinary Procedures for Registered Brokers and Dealers, and for Other Purposes |
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... fact that the need for capital mobility must be fulfilled so that we may have a dynamic and adequate capital market and , there- fore , a dynamic private enterprise system . Also I wish to say , in that connection , that I am not afraid ...
... fact that the need for capital mobility must be fulfilled so that we may have a dynamic and adequate capital market and , there- fore , a dynamic private enterprise system . Also I wish to say , in that connection , that I am not afraid ...
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... fact , the only criticism I have heard comes from the Comptroller of the Currency , who criticized the proposal that banks should be included with other corporations insofar as certain reporting require- ments are concerned . But after ...
... fact , the only criticism I have heard comes from the Comptroller of the Currency , who criticized the proposal that banks should be included with other corporations insofar as certain reporting require- ments are concerned . But after ...
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... fact that , considering only public sales , the volume of over - the- counter stock transactions in 1961 amounted to approximately 75 per- cent of exchange transactions in terms of shares and 35 percent in terms of dollars . Companies ...
... fact that , considering only public sales , the volume of over - the- counter stock transactions in 1961 amounted to approximately 75 per- cent of exchange transactions in terms of shares and 35 percent in terms of dollars . Companies ...
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... fact , Mr. Chairman , S. 1642 does not represent a revolutionary departure from the principles upon which our ... facts as I have indicated in this statement thus far- indicating this enormous expansion , almost an explosion in the ...
... fact , Mr. Chairman , S. 1642 does not represent a revolutionary departure from the principles upon which our ... facts as I have indicated in this statement thus far- indicating this enormous expansion , almost an explosion in the ...
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... fact , however , that the public has an enormous interest in these companies , in that every policyholder is tantamount to being a stockholder . He votes . He has an equity interest in whatever the mutual company has . That is correct ...
... fact , however , that the public has an enormous interest in these companies , in that every policyholder is tantamount to being a stockholder . He votes . He has an equity interest in whatever the mutual company has . That is correct ...
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Common terms and phrases
$1 million adequate amendment American Stock Exchange apply assets authority bank regulation bank stocks believe bill broker or dealer broker-dealers brokers and dealers capital CARY Chairman Commissioners committee Comptroller Congress corporations directors disciplinary disclosure requirements DOMINICK Exchange Commission exemption Federal Reserve System firms full disclosure Funston holders insider trading insurance companies intermediate sanctions investment investor protection issuers issues legislation LEMKAU ment NASD national banks over-the over-the-counter companies over-the-counter market over-the-counter securities panies percent practices Preferred Stock present problems proposed proxy rules proxy solicitation proxy statement public interest real estate securities registered regulation reporting requirements respect SCHAPIRO section 16 Securities Act Securities and Exchange securities association securities business Securities Exchange Act securities industry securities markets self-regulation Senator JAVITS Senator WILLIAMS shareholders shares solicit proxies special study standards stockholders subcommittee substantial tion transactions U.S. Senate Underwriters unlisted York Stock Exchange
Popular passages
Page 375 - 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 (USC, title 28, sees. 346 and 347).
Page 375 - Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper. The Commission may modify its findings as to the facts or make new findings, by reason of the additional evidence so taken...
Page 373 - 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...
Page 382 - If any provision of this Act, or the application of such provision to any . person or circumstance, shall be held invalid, the remainder of this Act, or the application of such provision to persons or circumstances other than those as to which it is held invalid, shall not be affected thereby. SEC. 16. This Act may be cited as the "National Labor Relations Act.
Page 374 - If either party shall apply to the court for leave to adduce additional evidence, and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for failure to adduce such evidence in the hearing before the Commission, the court may order such additional evidence to be taken before the Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper.
Page 406 - ... in any other district of which the defendant is an inhabitant or wherever the defendant may be found.
Page 380 - Cong. 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 (2) to obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact...
Page 382 - 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 403 - ... no individual shall be prosecuted or subject 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, documentary or otherwise, except that such individual so testifying shall not be exempt from prosecution and punishment for perjury committed in so testifying.
Page 393 - ... 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.