Proposed Amendments to the Securities Act of 1933 and to the Securities Exchange Act of 1934, Volume 2U.S. Government Printing Office, 1942 - Securities |
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Page 389
... sell an obligation to any single buyer , provided that the obligation is evidenced by a single in- divisible security and not by marketable obligations . This exemption would be available irrespective of whether an issuer dealt with a ...
... sell an obligation to any single buyer , provided that the obligation is evidenced by a single in- divisible security and not by marketable obligations . This exemption would be available irrespective of whether an issuer dealt with a ...
Page 392
... selling an issue of securities of more than 5 years ' maturity , that the issue of securities shall be registered . We do not say that if an issue of securities is registered , a bank cannot buy them . Far from it . We say that if a ...
... selling an issue of securities of more than 5 years ' maturity , that the issue of securities shall be registered . We do not say that if an issue of securities is registered , a bank cannot buy them . Far from it . We say that if a ...
Page 395
... selling securities to it would be required to meer the registration requirements . Mr. SOUTH . I am primarily interested in knowing whether they could be classed as banks under some classification that you have given there . Mr. STEWART ...
... selling securities to it would be required to meer the registration requirements . Mr. SOUTH . I am primarily interested in knowing whether they could be classed as banks under some classification that you have given there . Mr. STEWART ...
Page 396
... selling them to a public institution there is being written into the law a requirement that the public institution be regulated by the authority to whom the issuer submits its registration statement . Yet that is what is being contended ...
... selling them to a public institution there is being written into the law a requirement that the public institution be regulated by the authority to whom the issuer submits its registration statement . Yet that is what is being contended ...
Page 400
... sell directly to the big insurance companies , we would be wholly powerless to do anything to make offerings to smaller investors . Yet I think that in a great many in- stances , perhaps in a majority of them , the issuers would , if ...
... sell directly to the big insurance companies , we would be wholly powerless to do anything to make offerings to smaller investors . Yet I think that in a great many in- stances , perhaps in a majority of them , the issuers would , if ...
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Common terms and phrases
aggregate American Water amount Association bank loans BOLLARD BOREN Boston buyer capital Casualty CHAIRMAN Clarence F commercial banks Commissioner PURCELL committee corporate cost dealers depositors deposits Detroit Edison Co disclosure distribution dollars ECKER expense fact Federal Reserve System figures financing Fire Insurance FOLGER funds institutional investors insurance companies investment bankers involved issuer issues of securities liability life-insurance life-insurance companies Mass maturity MCGRANERY ment Mutual Fire Mutual Life Insurance National Bank panies participate percent policyholders present private placements private sales privately placed proposed amendment proposed section protection provisions public issues public offering publicly question REECE refunded registration statement regulation represent Savings Bank section 2 14 Securities Act Securities and Exchange securities industry securities sold sell small issues STEWART tabulation term loans tion Trust TWOMBLY underwriters United States branch WADSWORTH yield to maturity York City YOUNGDAHL
Popular passages
Page 362 - The Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation...
Page 391 - 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 490 - 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 497 - 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 501 - dealer" means any person who engages either for all or part of his time, directly or indirectly, as agent, broker, or principal, in the business of offering, buying, selling, or otherwise dealing or trading in securities issued by another person.
Page 427 - ... (3) financing by the issue and sale of the particular security is not necessary or appropriate to the economic and efficient operation of a business in which the applicant lawfully is engaged or has an interest...
Page 393 - Board shall, as far as possible, use the reports of examinations made by the Comptroller of the Currency, the Federal Deposit Insurance Corporation, or the appropriate State bank supervisory authority for the purposes of this section.
Page 603 - Act of 1958 if it finds, having regard to the purposes of that act, that the enforcement of this act with respect to such securities is not necessary in the public interest and for the protection of investors.
Page 665 - In this connection, you are realists and want facts and I would be less than frank if I did not point out to you that American Jews vigorously repudiate any suggestion or implication that they are in exile.
Page 656 - ... by reason of the small amount involved or the limited character of the public offering...