Securities Exchange Act of 1934: And Amendments Public--no. 291--73d Congress H.R. 9323 ...U.S. Government Printing Office, 1938 - 44 pages |
From inside the book
Results 1-5 of 12
Page 6
... proceeding inconsistent with just and equitable principles of trade , and declare that the willful violation of any provisions of this title or any rule or regula- tion thereunder shall be considered conduct or proceeding incon- sistent ...
... proceeding inconsistent with just and equitable principles of trade , and declare that the willful violation of any provisions of this title or any rule or regula- tion thereunder shall be considered conduct or proceeding incon- sistent ...
Page 9
... proceeding or order of the Federal Reserve Board in the same manner as such provisions apply in the case of proceedings and orders of the Commission . ( b ) To permit in the ordinary course of business as a broker his aggregate ...
... proceeding or order of the Federal Reserve Board in the same manner as such provisions apply in the case of proceedings and orders of the Commission . ( b ) To permit in the ordinary course of business as a broker his aggregate ...
Page 17
... proceeding under this subsection in which appropriate notice and opportunity for hearing are required , notice of not less than ten days to the applicant in such proceeding , to the issuer of the security involved , to the exchange ...
... proceeding under this subsection in which appropriate notice and opportunity for hearing are required , notice of not less than ten days to the applicant in such proceeding , to the issuer of the security involved , to the exchange ...
Page 20
... proceeding before the Commission with respect to registration pursuant to this subsection 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 ...
... proceeding before the Commission with respect to registration pursuant to this subsection 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 ...
Page 24
... proceeding to determine whether any member shall be disciplined , such rules shall require that specific charges be brought ; that such member shall be notified of , and be given an opportunity to defend against , such charges ; that a ...
... proceeding to determine whether any member shall be disciplined , such rules shall require that specific charges be brought ; that such member shall be notified of , and be given an opportunity to defend against , such charges ; that a ...
Common terms and phrases
74th Cong action acts or practices appropriate notice approved bank broker or dealer commerce to effect commercial paper Commission finds Commission is authorized Commission may deem Commission may prescribe contravention court deem necessary directly or indirectly effect any transaction effective date exempted security extension false or misleading Federal Reserve Board Federal Reserve System Federal Trade Commission indirectly controlling induce the purchase instrumentality of interstate interstate commerce jurisdiction liability listed and registered mails means or instrumentality national securities association national securities exchange necessary or appro necessary or appropriate notice and opportunity officer opportunity for hearing paragraph person directly prescribe as necessary protection of investors public interest purchase or sale purpose reason registered securities association registration statement regulation thereunder reports rule or regulation rules and regulations section 15 Securities Act security registered suant term issuer terms and conditions therein tion treasury stock United unlawful unless unlisted trading privileges
Popular passages
Page 39 - security" means any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas, or other mineral rights,... or, in general, any interest or instrument commonly known as a "security...
Page 34 - 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...
Page 34 - Any person aggrieved by an order of the Commission may obtain a review of such order in the Court of Appeals ' of the United 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...
Page 33 - ... no individual shall be prosecuted or subject 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, documentary or otherwise, except that such individual so testifying shall not be exempt from prosecution and punishment for perjury committed in so testifying.
Page 34 - 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 evidence is material and that there were reasonable grounds for failure to adduce such evidence in the hearing before the Commission, the court may order such additional evidence to be taken before the Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper.
Page 32 - Board, its member, agent, or agency, there to produce evidence if so ordered, or there 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 said court as a contempt thereof.
Page 4 - ... (1) any member appointed to fill a vacancy occurring prior to the expiration of the term for which his predecessor was appointed, shall be appointed for the remainder of such term; and (2) the terms of office of the members first taking office after the date of...
Page 11 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails or of any facility of any national securities exchange, "(a) To employ any device, scheme, or artifice to defraud...
Page 33 - States court of any territory or other place subject to the jurisdiction of the United States, to enjoin such acts or practices, and upon a proper showing a permanent or temporary injunction or restraining order shall be granted without bond.
Page 3 - ... acceptance which arises out of a current transaction or the proceeds of which have been or are to be used for current transactions, and which has a maturity at the time of issuance of not exceeding nine months, exclusive of days of grace, or any renewal thereof the maturity of which is likewise limited.