Proposed Amendments to the Securities Act of 1933 and to the Securities Exchange Act of 1934. Hearings ... on H.R. 4344, H.R. 5056, and H.R. 5832
What people are saying - Write a review
We haven't found any reviews in the usual places.
amendment amount appears apply Association bankers banks believe bonds BOREN buyers capital CHAIRMAN Commission Commissioner PURCELL committee complete concerned Congress connection contained corporation cost course dealers direct discussion distribution effective exemption expense fact Federal figures filed financing funds give given holding industry institutional insurance companies interest investment investors involved issuer issues less liability limited loans matter means ment necessary offering operation particular percent period permit person possible practice present private placements procedure proposed prospectus protection provisions purchase question reason record referred registration statement regulations representatives respect result rules Savings Securities Act Securities and Exchange sell situation sold SOUTH STEWART suggested term tion transactions underwriters utility WADSWORTH York YOUNGDAHL
Page 379 - The Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation...
Page 814 - ... in the light of the circumstances under which they were made, not misleading (the purchaser not knowing of such untruth or omission), and who shall not sustain the burden of proof that he did not know, and in the exercise of reasonable care could not have known, of such untruth or omission...
Page 814 - ... by means of a prospectus or oral communication, which includes an untrue statement of a material fact or omits to state a material fact necessary in order to make the statements, in the light of the circumstances under which they were made, not misleading...
Page 408 - Any note, draft, bill of exchange or banker's acceptance which arises out of a current transaction or the proceeds of which have been or are to be used for current transactions...
Page 364 - ... shall be liable to the person purchasing such security from him, who may sue either at law or in equity in any court of competent jurisdiction, to recover the consideration paid for such security with interest thereon, less the amount of any income received thereon, upon the tender of such security, or for damages if he no longer owns the security.
Page 508 - The name of each public utility holding company, listed in subparagraph (1) of this paragraph which has registered with the Securities and Exchange Commission under the Public Utility Holding Company Act of 1935 (49 Stat.
Page 730 - 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 515 - In cases where financial statements filed with this commission pursuant to its rules and regulations under the securities act of 1933 or the securities exchange act of 1934...
Page 39 - Commission for filings under the Securities Act of 1933: the Securities and Exchange Act of 1934, and the Public Utility Holding Company Act.
Page 66 - ... (2) To effect, alone or with one or more other persons, a series of transactions in any security registered on a national securities exchange creating actual or apparent active trading in such security or raising or depressing the price of such security, for the purpose of inducing the purchase or sale of such security by others.