Hearings, Reports and Prints of the Senate Committee on Banking and Currency, Части 1-4U.S. Government Printing Office, 1940 |
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Стр. 3
... affiliated company of the issuer , the beneficial ownership shall be deemed to be that of the holders of such affiliated company's outstanding securities ( other than short- term paper ) . 2 ) Any person substantially all of whose gross ...
... affiliated company of the issuer , the beneficial ownership shall be deemed to be that of the holders of such affiliated company's outstanding securities ( other than short- term paper ) . 2 ) Any person substantially all of whose gross ...
Стр. 6
... affiliated persons thereof , and underwriters therefor . ( c ) In lieu of filing information and documents required pursuant to paragraph ( 2 ) of subsection ( b ) , any registrant which has filed a registration statement under the ...
... affiliated persons thereof , and underwriters therefor . ( c ) In lieu of filing information and documents required pursuant to paragraph ( 2 ) of subsection ( b ) , any registrant which has filed a registration statement under the ...
Стр. 7
... AFFILIATED PERSONS AND UNDERWRITERS SEC . 9. ( a ) It shall be unlawful for any person , unless registered under this section , to serve or act in any of the following capacities for a period exceeding sixty days : ( 1 ) as officer ...
... AFFILIATED PERSONS AND UNDERWRITERS SEC . 9. ( a ) It shall be unlawful for any person , unless registered under this section , to serve or act in any of the following capacities for a period exceeding sixty days : ( 1 ) as officer ...
Стр. 8
... affiliated persons of any one company other than such registered company ; or ( 2 ) persons who regularly act as manager , investment adviser , broker , or principal underwriter of or for such registered company , or affiliated persons ...
... affiliated persons of any one company other than such registered company ; or ( 2 ) persons who regularly act as manager , investment adviser , broker , or principal underwriter of or for such registered company , or affiliated persons ...
Стр. 9
... affiliated person , unless- ( 1 ) in acquiring such security such registered company is itself acting as a principal ... affiliated persons thereof , shall apply , respectively , to every depositor or manager of such company and to ...
... affiliated person , unless- ( 1 ) in acquiring such security such registered company is itself acting as a principal ... affiliated persons thereof , shall apply , respectively , to every depositor or manager of such company and to ...
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Часто встречающиеся слова и выражения
abuses affiliated person amount asset value bank believe bill board of directors bonds broker Byllesby capital certificate clients committee common stock contract dividends Exchange Commission existing face-amount certificate company fact firm Founders funds holding company industry investment adviser investment banker investment counsel investment trust issue issuer Judge Healy legislation Massachusetts Investors Trust matter ment company officers open-end companies operation organized outstanding panies percent portfolio practice preferred stock present president profits prohibition provision purchase question registered investment company rules and regulations SCHENKER Securities Act Securities and Exchange securities finance security holders sell Senator HUGHES Senator TAFT Senator WAGNER chairman senior securities shareholders shares situation sold Standard stockholders subcommittee thing tion transactions type of company underwriter unit investment trust voting trust York Stock Exchange
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Стр. 27 - ... forfeiture ; but no individual shall be prosecuted or subjected to any penalty or forfeiture for or on account of any transaction, matter, or thing concerning which he is compelled, after having claimed his privilege against self-incrimination, to testify or produce evidence, except that such individual so testifying shall not be exempt from prosecution and punishment for perjury committed in so testifying.
Стр. 26 - System, notwithstanding that such rule or regulation may, after such act or omission, be amended or rescinded or be determined by judicial or other authority to be invalid for any reason.
Стр. 34 - ... (2) to obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact necessary in order to make the statements made, in...
Стр. 116 - ... as to make it necessary or appropriate in the public interest or for the protection of investors or consumers that the applicant be subject to the obligations, duties, and liabilities imposed in this title upon subsidiary companies of holding companies.
Стр. 725 - ... to aid in the enforcement of the provisions of this title, in the prescribing of rules and regulations thereunder, or in obtaining information to serve as a basis for recommending further legislation concerning the matters to which this title relates.
Стр. 656 - director " means any director of a corporation or any person performing similar functions with respect to any organization, whether incorporated or unincorporated.
Стр. 178 - SEC. 326. Except as otherwise expressly provided, nothing in this title shall affect (1) the jurisdiction of the Commission under the Securities Act of 1933, or the Securities Exchange Act of 1934, or...
Стр. 111 - Public-utility company" means an electric utility company or a gas utility company. (6) "Commission" means the Securities and Exchange Commission. (7) "Holding company" means— (A) any company which directly or indirectly owns, controls, or holds with power to vote...
Стр. 246 - No provision of this title imposing any liability shall apply to any act done or omitted in good faith in conformity with any rule, regulation, or...
Стр. 33 - ... (1) any person who within ten years has been convicted of any felony or misdemeanor involving the purchase or sale of any security or arising out of such person's conduct as an underwriter, broker, dealer, or investment adviser...