Securities Act ,hearings Before ...,73-1, on S. 875 ...,March 31 to April 8, 1933, Volumes 22-231933 - 349 pages |
From inside the book
Results 1-5 of 70
Page 4
... fraudulent transactions ; or ( c ) Is in any other way dishonest or has made any fraudulent representations in any prospectus or in any circular or other literature that has been distributed concerning such issuer or person or ...
... fraudulent transactions ; or ( c ) Is in any other way dishonest or has made any fraudulent representations in any prospectus or in any circular or other literature that has been distributed concerning such issuer or person or ...
Page 24
... fraudulent statistics regarding the percentage of the national income derived from foreign countries , from exports . One of the most depressing and destructing factors , which have kept the United States from recovering and ...
... fraudulent statistics regarding the percentage of the national income derived from foreign countries , from exports . One of the most depressing and destructing factors , which have kept the United States from recovering and ...
Page 26
... fraudulent secu- rities . It occurs to me that you might have a banking house , private or incorporated , with very little financial stability selling sound securities . Mr. WOODHOUSE . Yes . That is the great problem , unless you amend ...
... fraudulent secu- rities . It occurs to me that you might have a banking house , private or incorporated , with very little financial stability selling sound securities . Mr. WOODHOUSE . Yes . That is the great problem , unless you amend ...
Page 54
... fraudulent transactions . It would serve no useful purpose here to list the various exemptions made in the 43 States but those most usually occurring are found in the Michigan law and may be summarized as follows : " Securities ...
... fraudulent transactions . It would serve no useful purpose here to list the various exemptions made in the 43 States but those most usually occurring are found in the Michigan law and may be summarized as follows : " Securities ...
Page 66
... fraudulent , they are being attacked right now and being taken care of by the Department of Justice , I think . The CHAIRMAN . You think the whole bill ought to apply to future issues ? Mr. CARTER . I do ; yes , sir . The CHAIRMAN . As ...
... fraudulent , they are being attacked right now and being taken care of by the Department of Justice , I think . The CHAIRMAN . You think the whole bill ought to apply to future issues ? Mr. CARTER . I do ; yes , sir . The CHAIRMAN . As ...
Common terms and phrases
advertising amendment amount application Attorney authority banks bill blue sky laws bonds BREED building and loan BULKLEY BUTLER capital CARTER certificate CHAIRMAN clause commercial paper committee corporation court DEAN directors District of Columbia dollars exempt fact Federal Securities Act Federal Trade Commission filed foreign government fraudulent HARVEY HEALY holders HOLTZOFF income interposing Interstate Commerce Commission investment banker investor issuer J. P. Morgan legislation liability loan associations MACLEAN ment offered officer percent person principal proposed provisions purchase question registration statement regulations revocation revoke sale of securities section 14 Securities Act securities issued Senator ADAMS Senator BARKLEY Senator BYRNES Senator CoSTIGAN Senator COUZENS Senator GORE Senator KEAN Senator MCADOO Senator REYNOLDS Senator STEIWER Senator WAGNER Senator WALCOTT sold statute subdivision suggest thereof THOMPSON tion transactions TUCKER underwriting United WOODHOUSE York York Stock Exchange
Popular passages
Page 8 - ... to produce documentary evidence if so ordered, or to give evidence touching the matter in question; and any failure to obey such order of the court may be punished by such court as a contempt thereof.
Page 92 - State of the United States, or by any political subdivision of a State or Territory, or by any public instrumentality of one or more States or Territories, or by any person controlled or supervised by and acting as an instrumentality of the Government of the United States...
Page 322 - These contracts are not articles of commerce in any proper meaning of the word. They are not subjects of trade and barter offered in the market as something having an existence and value independent of the parties to them. They are not commodities to be shipped or forwarded from one State to another, and then put up for sale.
Page 8 - Judgments and decrees so rendered shall be subject to review as provided in sections 128 and 240 of the Judicial Code, as amended (USC, title 28, sees. 225 and 347).
Page 339 - Any security exchanged by the issuer with its existing security holders exclusively where no commission or other remuneration is paid or given directly or indirectly for soliciting such exchange...
Page 338 - ... as in cases of contract from any person who, if sued separately, would have been liable to make the same payment, unless the person who has become liable was, and the other was not, guilty of fraudulent misrepresentation.
Page 114 - 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 46 - ... (2) Any security issued or guaranteed . by the United States or any Territory thereof, or by the District of Columbia, or by any State of the United States, or by any political subdivision of a State or Territory, or by any public instrumentality of one or more States or Territories...
Page 8 - Upon the application of the Attorney General of the United States, at the request of the commission, the district courts of the United States shall have jurisdiction to issue writs of mandamus commanding any person or corporation to comply with the provisions of this Act or any order of the commission made in pursuance thereof.
Page 132 - ... made in the course of repeated and successive transactions of a like character by such owner, or on his account by such representative, and such owner or representative not being the underwriter of such security.