United States Congressional Serial SetReports, Documents, and Journals of the U.S. Senate and House of Representatives. |
Other editions - View all
Common terms and phrases
amount invested assets average Benjamin Franklin Foundation Capital Savings Plan cates certificate holders Commission's questionnaire December 31 deducted depositor deposits dividends Empire Trust Company Estates of America Exchange Commission Exhibit fees and charges filed Financial Independence Founders fixed trust Foundation Plan Foundation Trust Certificates Fund of North Independence Shares Corporation installment investment plan installment plan certificates installment plan indenture installment plan sponsor investigation dated Investment Certificates investment trust January 21 liquidation loading charge loss market value maturity value North America Number of plans order for investigation paid Payments by certificate Pennsylvania Company percent percentage period Plan Contract Certificates portfolio profit prospectus Public Examination purchase Reply salesmen secondary sales load Securities Act Securities and Exchange Securities Registration Statement selling Series D service fee Share Certificates sponsor company sworn to January testified tificates tion Trust Company Trust Fund trustee fee underlying securities Wellington Fund withdrawal
Popular passages
Page 155 - It shall be unlawful for any person in the 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...
Page 155 - ... (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 Id. (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 155 - 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...
Page 155 - ... (2) to carry or to cause to be carried through the mails or in interstate commerce any such security for the purpose of sale or for delivery after sale, unless accompanied or preceded by a prospectus that meets the requirements of section 10.
Page 20 - ... on the New York Stock Exchange or the New York Curb Exchange is given any notice whatsoever.
Page 109 - ... company, by the enforcement of any assessment or by any legal or equitable proceeding by virtue of any statute or otherwise; it being expressly agreed and understood that this...
Page 176 - The salability of railroad bonds depends in no inconsiderable degree upon the character of the persons who are selected to manage the trust. If • these persons are of well-known integrity and pecuniary ability the bonds are more readily sold than if this were not the case.
Page 47 - yes" or "no" whether or not any of the presently issued and outstanding stock of the financed small business concern has been registered with the Securities and Exchange Commission under the Securities Act of 1933. (For this purpose a filing under Regulation A of SEC shall be considered a registration.) If the small business concern is not a corporation, enter "N/A
Page 130 - Agreement; and shall not be liable for the exercise of any discretion or power hereunder, or mistakes or errors of judgment, or otherwise, except wilful misconduct or gross negligence.
Page 121 - ... securities through the use or medium of any prospectus or otherwise, unless and until a registration statement has been filed with the Securities and Exchange Commission as to such securities, or while a registration statement filed with the Securities and Exchange Commission as to such securities is the subject of a refusal order or stop order of the Securities and Exchange Commission...