Laws Relating to Securities Commission, Exchanges and Holding CompaniesU.S. Government Printing Office, 1973 |
From inside the book
Results 1-5 of 54
Page xiv
... Evidence of Compliance with Indenture Pro- visions .. ( c ) Evidence of compliance with conditions precedent- ( a ) Periodic reports . ( b ) Evidence of recording of indenture .. ( d ) Certificates of fair value___ ( e ) Recitals as to ...
... Evidence of Compliance with Indenture Pro- visions .. ( c ) Evidence of compliance with conditions precedent- ( a ) Periodic reports . ( b ) Evidence of recording of indenture .. ( d ) Certificates of fair value___ ( e ) Recitals as to ...
Page xx
... evidence , and require production of records .. ( c ) Commission may invoke aid of courts of the United States .. ( d ) Privilege against self - incrimination__ 43. Court Review of Orders__ ( a ) Petitions for review ; additional evidence ...
... evidence , and require production of records .. ( c ) Commission may invoke aid of courts of the United States .. ( d ) Privilege against self - incrimination__ 43. Court Review of Orders__ ( a ) Petitions for review ; additional evidence ...
Page xxi
... evidence , and require production of records .. 267 ( c ) Commission may invoke aid of courts of the United States-- ( d ) Privilege against self - incrimination__ 267 268 ( e ) Injunctions ; criminal proceedings .. 268 210. Publicity ...
... evidence , and require production of records .. 267 ( c ) Commission may invoke aid of courts of the United States-- ( d ) Privilege against self - incrimination__ 267 268 ( e ) Injunctions ; criminal proceedings .. 268 210. Publicity ...
Page 1
... evidence of indebtedness , certificate of interest or participation in any profit - sharing agreement , collateral - trust cer- tificate , preorganization certificate or subscription , transferable share , investment contract , voting ...
... evidence of indebtedness , certificate of interest or participation in any profit - sharing agreement , collateral - trust cer- tificate , preorganization certificate or subscription , transferable share , investment contract , voting ...
Page 8
... evidence , shall be conclusive . If either party shall apply to the court for leave to adduce additional evidence , and shall show to the satisfaction of the court that such additional evi- dence is material and that there were ...
... evidence , shall be conclusive . If either party shall apply to the court for leave to adduce additional evidence , and shall show to the satisfaction of the court that such additional evi- dence is material and that there were ...
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Common terms and phrases
amended amount application approval assets authority broker or dealer centum Commission may prescribe contract corporation court creditors debtor debtor in possession directly or indirectly District of Columbia effective date face-amount certificate face-amount certificate company Federal Reserve Board filed indenture trustee instrumentality of interstate interstate commerce investment adviser investors or consumers issuer jurisdiction liability licensee mails March 15 means or instrumentality ment national securities exchange necessary or appropriate obligor officer opportunity for hearing order thereunder otherwise pany paragraph payment petition prescribe as necessary prior proceeding prospectus protection of investors public interest public utility purchase purposes pursuant reasonable registered holding company registered investment company registration statement regulations or order regulations thereunder respect rule or regulation rules and regulations Securities Act security issued senior securities specified stockholders subsection subsidiary company thereof therein tion transactions treasury stock unit investment trust United unlawful
Popular passages
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...