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 22
... transactions which it executed for the account of the pool . They also received a management fee of over $ 500,000 . That does not take into account , of course , such additional brokerage transactions and resulting commissions that may ...
... transactions which it executed for the account of the pool . They also received a management fee of over $ 500,000 . That does not take into account , of course , such additional brokerage transactions and resulting commissions that may ...
Page 73
... transactions whether they be on exchanges or not . It prohibits speculative transactions and has a prima facie definition of speculative transactions which prevents an employee from purchasing a security or taking a position in com ...
... transactions whether they be on exchanges or not . It prohibits speculative transactions and has a prima facie definition of speculative transactions which prevents an employee from purchasing a security or taking a position in com ...
Page 74
... transactions , by employees- securities or commodity transactions by employees - mind you , we have no jurisdiction as you all know over the commodities markets , but the effect of allowing our employees to trade in commodities futures ...
... transactions , by employees- securities or commodity transactions by employees - mind you , we have no jurisdiction as you all know over the commodities markets , but the effect of allowing our employees to trade in commodities futures ...
Page 75
... transactions , and his report is not always checked ; is that correct ? In other words , you check more closely on the transactions of the individual business organization that comes under your authority than you do on your own ...
... transactions , and his report is not always checked ; is that correct ? In other words , you check more closely on the transactions of the individual business organization that comes under your authority than you do on your own ...
Page 99
... transactions in stocks as meas- ured by the total in millions of shares traded on the New York Stock Exchange and the New York Curb Exchange - again showing a trend down from 755,700,000 in 1933 to 330,400,000 in 1940 , and in 1941 ...
... transactions in stocks as meas- ured by the total in millions of shares traded on the New York Stock Exchange and the New York Curb Exchange - again showing a trend down from 755,700,000 in 1933 to 330,400,000 in 1940 , and in 1941 ...
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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.