Hearings, Reports and Prints of the Senate Committee on Banking and Currency, Parts 1-4
U.S. Government Printing Office, 1940 - Banking law
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adviser affiliated amount application assets association bank bankers believe bill capital certificate Chairman Commission committee common stock connection contract Corporation course deal directors discussion dividends effect existing fact firm funds give hearing holders holding individual industry instance interest investment company investment counsel investment trust investors issue legislation limited matter means ment necessary offer officers open-end operation organized outstanding paid percent period person portfolio possible practice preferred present president problem profits proposed protection provision purchase question reason record registered regulation represent respect result rules SCHENKER securities Securities and Exchange sell Senator Hughes Senator WAGNER senior shareholders shares situation sold Standard statement stockholders Taft thing underwriter United voting
Page 27 - ... 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 perjury committed in so testifying.
Page 34 - ... (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...
Page 116 - ... as to make it necessary or appropriate in the public interest or for the protection of investors or consumers that the applicant be subject to the obligations, duties, and liabilities imposed in this title upon subsidiary companies of holding companies.
Page 725 - ... to aid in the enforcement of the provisions of this title, in the prescribing of rules and regulations thereunder, or in obtaining information to serve as a basis for recommending further legislation concerning the matters to which this title relates.
Page 656 - director " means any director of a corporation or any person performing similar functions with respect to any organization, whether incorporated or unincorporated.
Page 178 - SEC. 326. Except as otherwise expressly provided, nothing in this title shall affect (1) the jurisdiction of the Commission under the Securities Act of 1933, or the Securities Exchange Act of 1934, or...
Page 111 - Public-utility company" means an electric utility company or a gas utility company. (6) "Commission" means the Securities and Exchange Commission. (7) "Holding company" means— (A) any company which directly or indirectly owns, controls, or holds with power to vote...
Page 246 - No provision of this title imposing any liability shall apply to any act done or omitted in good faith in conformity with any rule, regulation, or...