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. 5
... sell exclusively for cash any security of which it is the issuer , except short - term paper and ordinary receiver's or trustee's certificates . ( b ) Upon application by any employees ' securities company , the Commission shall be ...
... sell exclusively for cash any security of which it is the issuer , except short - term paper and ordinary receiver's or trustee's certificates . ( b ) Upon application by any employees ' securities company , the Commission shall be ...
Стр. 6
... sell or purchase for the account of such trust , by use of the mails or any means or instrumentality of interstate commerce , any security or interest in a security , by whomever issued . ( c ) No promoter of a proposed investment ...
... sell or purchase for the account of such trust , by use of the mails or any means or instrumentality of interstate commerce , any security or interest in a security , by whomever issued . ( c ) No promoter of a proposed investment ...
Стр. 12
... sell any security or other property to such registered company or an affiliated company thereof ( unless such sale consists solely of ( A ) the redemption of redeemable securities by their issuer , or ( B ) the deposit of securities ...
... sell any security or other property to such registered company or an affiliated company thereof ( unless such sale consists solely of ( A ) the redemption of redeemable securities by their issuer , or ( B ) the deposit of securities ...
Стр. 16
... sell any security of which it is the issuer , in contravention of such rules and regulations or orders as the Commission may prescribe in the public interest or for the protection of investors to prevent or limit such issuance or sale ...
... sell any security of which it is the issuer , in contravention of such rules and regulations or orders as the Commission may prescribe in the public interest or for the protection of investors to prevent or limit such issuance or sale ...
Стр. 17
... sell , or deliver after sale , pursuant to any such plan , any security or other property ; ( 3 ) for any person to submit any such plan to any court of the United States for approval ; or ( 4 ) for any court of the United States to ...
... sell , or deliver after sale , pursuant to any such plan , any security or other property ; ( 3 ) for any person to submit any such plan to any court of the United States for approval ; or ( 4 ) for any court of the United States 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...