Laws Relating to Securities Commission, Exchanges and Holding CompaniesU.S. Government Printing Office, 1938 |
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Common terms and phrases
affiliate amended application appointed approval bankruptcy broker or dealer centum certificate certificate of deposit chapter claims or stock Commission may prescribe contract corporation court debtor in possession directly or indirectly directors District of Columbia documents equity Exchange Commission exempted security Federal Reserve Board filed holders indenture trustee instrumentality of interstate interstate commerce investors or consumers issuer judge jurisdiction liability mails means or instrumentality national securities exchange necessary or appropriate notice and opportunity officer opportunity for hearing order thereunder otherwise pany paragraph person petition prescribe as necessary prior proceeding protection of investors provisions public interest public-utility company purchase purpose pursuant reasonable registered holding company registration statement regulations or order regulations thereunder respect rule or regulation rules and regulations section 15 Securities and Exchange specified suant subsection subsidiary company thereof tion transactions underwriter United unlawful unlisted trading privileges utility assets utility company violation
Popular passages
Page 16 - If any provision of this Act, or the application of such provision to any . person or circumstance, shall be held invalid, the remainder of this Act, or the application of such provision to persons or circumstances other than those as to which it is held invalid, shall not be affected thereby. SEC. 16. This Act may be cited as the "National Labor Relations Act.
Page 46 - ... 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.
Page 92 - Commission under this title may obtain a review of such order in the circuit 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, 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 48 - 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 the failure to adduce such evidence in the proceeding 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 8 - Commission shall be final, subject to review by the Supreme Court of the United States upon certiorari or certification as provided in sections 239 and 240 of the Judicial Code, as amended (USC, title 28, sees. 346 and 347...
Page 1 - ... 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 27 - ... 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.
Page 47 - 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,* 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 be set aside in whole or in part.
Page 46 - 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 91 - 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.