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 |
From inside the book
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Page 103
... exchange unless I was convinced that it was a useful institution - and I meant useful in the broadest sense . One factor which interested me and which impresses every ... securities exchanges AMENDMENTS TO THE SECURITIES AND EXCHANGE ACT 103.
... exchange unless I was convinced that it was a useful institution - and I meant useful in the broadest sense . One factor which interested me and which impresses every ... securities exchanges AMENDMENTS TO THE SECURITIES AND EXCHANGE ACT 103.
Page 205
... Securities and Exchange Commission of the distribution by States of 6 bonds reveals that all of the 13 States named in the Securities and Exchange Commission tabulation are also named above in the First Boston Corporation tabulation ...
... Securities and Exchange Commission of the distribution by States of 6 bonds reveals that all of the 13 States named in the Securities and Exchange Commission tabulation are also named above in the First Boston Corporation tabulation ...
Page 497
... Exchange Act of 1934 Issues subject to sec . 2 ( 14 ) by issuers which had registered under the Public Utility Holding Company Act of 1935 . 31 493 , 376,000 12 137 , 376,000 44 611 , 426,000 Issues ... SECURITIES AND EXCHANGE ACT 497.
... Exchange Act of 1934 Issues subject to sec . 2 ( 14 ) by issuers which had registered under the Public Utility Holding Company Act of 1935 . 31 493 , 376,000 12 137 , 376,000 44 611 , 426,000 Issues ... SECURITIES AND EXCHANGE ACT 497.
Page 681
... Exchange , and New York Stock Exchange .. Joint statement by the Securities and Exchange Commission , the representatives of the Investment Bankers Association , the Na- tional Association of Securities Dealers Inc. , the New York Curb ...
... Exchange , and New York Stock Exchange .. Joint statement by the Securities and Exchange Commission , the representatives of the Investment Bankers Association , the Na- tional Association of Securities Dealers Inc. , the New York Curb ...
Page 705
... Exchange Commission and its staff have held during a period of many months with representatives of the New York Stock Exchange , the New York Cub Echange , the Investment Bankers Association of America ... SECURITIES AND EXCHANGE ACT 705.
... Exchange Commission and its staff have held during a period of many months with representatives of the New York Stock Exchange , the New York Cub Echange , the Investment Bankers Association of America ... SECURITIES AND EXCHANGE ACT 705.
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Common terms and phrases
amount believe Better Business Bureau BOLLARD bonds BOREN buyers capital CHAIRMAN Clarence F Commissioner PURCELL committee print Congress corporate cost course dealers disclosure distribution effective date Exchange Commission exemption expense fact Federal filed financing funds HILLIARD Holding Company Act Insurance Co insurance companies investment bankers issue of securities issuer liability limited prospectus loans matter MCGRANERY ment PADDOCK panies percent period permit practice preferred stock present private placements procedure proposed amendment proposed section protection provisions public offering Public Utility Holding purchase PUTNEY question reason REECE referred registration statement regulations REIS representatives rules Savings Bank section 12 section 2 14 Securities Act Securities and Exchange Securities Exchange Act securities industry sell small issues sold SOUTH statute STEWART tion transactions underwriters Utility Holding Company York City York Curb Exchange York Stock Exchange YOUNGDAHL
Popular passages
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.