Laws Relating to Securities Commission, Exchanges and Holding Companies
U.S. Government Printing Office, 1973
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action affiliate amended amount application appointed approval assets association authority bank become broker centum certificate chapter charges claims Commission contract copy corporation costs court creditors dealer debtor deemed determine direct directly or indirectly directors distribution district documents effective evidence exempted expenses fact Federal filed finds follows hearing holders holding company indenture indenture securities interstate commerce issued issuer judge jurisdiction liability licensee mails material means national securities exchange necessary or appropriate notice offered officer operating otherwise outstanding paragraph payment period permit person petition prescribe principal prior proceeding protection of investors provisions public interest public utility purchase pursuant reasonable received records registration statement relating Reserve respect rules and regulations specified subsection subsidiary company term thereof thereunder tion trading transaction trustee underwriter United unlawful unless violation voting
Page 256 - Commission, there to produce records, if so ordered, or to give testimony touching the matter under investigation or in question; and any failure to obey such order of the court may be punished by such court as a contempt thereof.
Page 27 - ... security" or any certificate of interest or participation in, temporary or interim certificate for, receipt for, guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing.
Page 48 - Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper. The Commission may modify its findings as to the facts or make new findings, by reason of the additional evidence so taken, and...
Page 15 - Commission or any member thereof or any officer designated by it, or in any cause, or proceeding instituted by the Commission, on the ground that the testimony or evidence, documentary or otherwise, required of him, may tend to incriminate him or subject him to a penalty or 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...
Page 123 - States shall have exclusive jurisdiction of violations of this Act or the rules, regulations, and orders thereunder, and of all suits in equity and actions at law brought to enforce any liability or duty created by, or to enjoin any violation of, this Act or any rule, regulation, or order thereunder.
Page 358 - Such notes or other obligations shall bear interest at a rate determined by the Secretary of the Treasury, taking into consideration the current average market yield on outstanding marketable obligations of the United States of comparable maturities during the month preceding the issuance of the notes or other obligations. The Secretary of the Treasury may reduce the interest rate if he determines such reduction to be in the national interest.
Page 47 - States within any circuit wherein such person resides or has his principal place of business, or in the United States Court of Appeals for the District of Columbia, by filing in such court, within sixty days after the entry of such order, a written petition praying that the order of the Commission be modified or set aside in whole or in part.
Page 122 - States the sum of $100 for each and every day of the continuance of such failure, which forfeiture shall be payable into the Treasury of the United States, and shall be recoverable in a civil suit in the name of the United States...
Page 14 - Commission deems it necessary or desirable, of separate and/or consolidated balance sheets or income accounts of any person directly <or indirectly controlling or controlled by the issuer, or any person under direct or indirect common control with the issuer...
Page 299 - Commission with respect to registration, any statement which was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact...