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 50
... prospectus and the one finally issued ? Commissioner PURCELL . It depends entirely on the particular issue under ... prospectus . However , the " red herring " prospectus rarely , if ever , contains any information about the price of the ...
... prospectus and the one finally issued ? Commissioner PURCELL . It depends entirely on the particular issue under ... prospectus . However , the " red herring " prospectus rarely , if ever , contains any information about the price of the ...
Page 131
... prospectus plus additional data . The matter which is in the prospectus may be condensed from the registration statement or it may be a copy - to the extent it is a copy there is duplication . The amendment proposed to section 7 of the ...
... prospectus plus additional data . The matter which is in the prospectus may be condensed from the registration statement or it may be a copy - to the extent it is a copy there is duplication . The amendment proposed to section 7 of the ...
Page 132
... prospectus , and summaries always involve omissions . De- spite this , the securities industry is willing to admit that there may be specific occasions when summaries of matter in a registration state- ment are desirable in the prospectus ...
... prospectus , and summaries always involve omissions . De- spite this , the securities industry is willing to admit that there may be specific occasions when summaries of matter in a registration state- ment are desirable in the prospectus ...
Page 134
... prospectus is used after 13 months beyond the effective date the information must be no older than 12 months . The effect of the present provision has been in certain cases to require audits more than once a year or to make a cessation ...
... prospectus is used after 13 months beyond the effective date the information must be no older than 12 months . The effect of the present provision has been in certain cases to require audits more than once a year or to make a cessation ...
Page 138
... prospectus is given day before collect- ing money . C. Unless , if sale is made within 7 days after registration is effective . 1. General prospectus is given 24 hours be- fore sale ; or 2. General prospectus is given with confirma ...
... prospectus is given day before collect- ing money . C. Unless , if sale is made within 7 days after registration is effective . 1. General prospectus is given 24 hours be- fore sale ; or 2. General prospectus is given with confirma ...
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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.