Decisions and Reports, Volume 25U.S. Government Printing Office, 1953 |
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Page iii
... Act of 1934 . 793 Public Utility Holding Company Act of 1935 . 796 Trust Indenture Act of 1939 . Investment Advisers Act of 1940 .. Investment Company Act of 1940 ---- . 809 ⚫During the period covered by this volume there were no ...
... Act of 1934 . 793 Public Utility Holding Company Act of 1935 . 796 Trust Indenture Act of 1939 . Investment Advisers Act of 1940 .. Investment Company Act of 1940 ---- . 809 ⚫During the period covered by this volume there were no ...
Page vi
... Act of 1939 1 Public Utility Holding Company Act of 1935 Invest- ment Company and Invest- ment Advisers Acts of 1940 Page here- in Section Section involved involved Section involved Section involved Cabeen , John F. , et al ... Carver ...
... Act of 1939 1 Public Utility Holding Company Act of 1935 Invest- ment Company and Invest- ment Advisers Acts of 1940 Page here- in Section Section involved involved Section involved Section involved Cabeen , John F. , et al ... Carver ...
Page 24
... CORPORATION File No. 812-400 . Promulgated January 6 , 1947 ( Investment Company Act of 1940 - Section 6 ( c ) ) EXEMPTION Where the purpose of a company is to aid in the economic development of Palestine and its funds are employed ...
... CORPORATION File No. 812-400 . Promulgated January 6 , 1947 ( Investment Company Act of 1940 - Section 6 ( c ) ) EXEMPTION Where the purpose of a company is to aid in the economic development of Palestine and its funds are employed ...
Page 26
... Company Act , its capital structure and possibly its method of opera- tion may require material changes . For instance , the provisions of Sections 18 ( a ) ( 2 ) ( A ) , 3 18 ( a ) ( 2 ) ( C ) and 21 ( b ) , all of which were adopted ...
... Company Act , its capital structure and possibly its method of opera- tion may require material changes . For instance , the provisions of Sections 18 ( a ) ( 2 ) ( A ) , 3 18 ( a ) ( 2 ) ( C ) and 21 ( b ) , all of which were adopted ...
Page 38
... company had been afforded thirty days within which to present amendments to the plan to meet the objections ... Act in providing for ( 1 ) the distribution of the common stock of Gulf States Utilities Company ( " Gulf States " ) through ...
... company had been afforded thirty days within which to present amendments to the plan to meet the objections ... Act in providing for ( 1 ) the distribution of the common stock of Gulf States Utilities Company ( " Gulf States " ) through ...
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Common terms and phrases
accrued acquisition additional adjustments Amended Plan application appropriate approval assets Atlantic City balance sheet basis Bennett broker-dealer capital surplus cash certificates Cities Commission common stock common stockholders consolidated Corporation debentures debt December 31 depreciation dividends earned surplus effect Escrow estimated fair and equitable Federal filed FINDINGS AND OPINION forma Hamilton Funds hearing held Holding Company Act Illinois Power interest investment company issuance issued liabilities Light & Power merger mortgage bonds NASD North American Ogden outstanding pany par value payment Pepco Power & Light Power Company preferred stock preferred stockholders principal amount pro forma proceedings proposed transactions provisions of Section Public Utility Public Utility Holding purchase pursuant to Section record Red Bank registered holding company requirements reserve respect retirement Section 11 Securities Exchange Act shares of common tion Total Trust Upper Peninsula Utility Holding Company utility plant voting Washington Railway York Curb Exchange
Popular passages
Page 213 - ... 1 ) to employ any device, scheme, or artifice to defraud, (2) to make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading...
Page 204 - ... per centum or more of whose outstanding voting securities are directly or indirectly owned, controlled, or held with power to vote, by such other person; (C) any person directly or indirectly controlling, controlled by, or under common control with, such other person...
Page 377 - To make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading, or "(c) To engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security.
Page 342 - underwriter" means any person who has purchased from an issuer with a view to, or offers or sells for an issuer in connection with, the distribution of any security, or participates or has a direct or indirect participation in any such undertaking...
Page 229 - It shall be unlawful for any person, by the use of the mails or by any means or instrumentality of interstate commerce or of any facility of any national securities exchange or otherwise...
Page 369 - ... necessary or appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policy and provisions of this title.
Page 377 - 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— [b] To use or employ, in connection with the purchase or sale of any security registered on a national securities exchange or any security not so registered...
Page 770 - Investors or consumers and not detrimental to the proper functioning of such system or systems. (2) To require by order, after notice and opportunity for hearing, that each registered holding company, and each subsidiary company thereof, shall take such steps as the Commission shall find necessary to ensure that the corporate structure or continued existence of any company in the holdingcompany system does not unduly or unnecessarily complicate the structure, or unfairly or inequitably distribute...
Page 366 - broker" means any person engaged in the business of effecting transactions in securities for the account of others, but does not include a bank.
Page 493 - No solicitation subject to this regulation shall be made by means of any proxy statement, form of proxy, notice of meeting or other communication, written or oral, containing any statement which, at the time and in the light of the circumstances under which it is made, is false or misleading with respect to any material fact, or...