Decisions and Reports, Volume 25U.S. Government Printing Office, 1953 |
From inside the book
Results 1-5 of 100
Page 1
... filed under Securities Act respecting stock issue , de- ficiencies which remained in financial statements in annual reports filed under Securities Exchange Act , were not of such materiality as to require suspension of trading in the ...
... filed under Securities Act respecting stock issue , de- ficiencies which remained in financial statements in annual reports filed under Securities Exchange Act , were not of such materiality as to require suspension of trading in the ...
Page 2
... filed under the Securities Exchange Act of 1934 , and ( 2 ) the scope of the audits made by the accountants in connection with such financial statements . In our Findings and Opinion of January 4 , 1946 , which dealt with the two ...
... filed under the Securities Exchange Act of 1934 , and ( 2 ) the scope of the audits made by the accountants in connection with such financial statements . In our Findings and Opinion of January 4 , 1946 , which dealt with the two ...
Page 3
... filed . The hearings have been closed , counsel for the Corporation Finance Division have submitted requested findings and counsel for registrant has filed a request that the suspension of registration on the New York Curb Exchange be ...
... filed . The hearings have been closed , counsel for the Corporation Finance Division have submitted requested findings and counsel for registrant has filed a request that the suspension of registration on the New York Curb Exchange be ...
Page 10
... filed by the registrant , and accordingly the inadequacies and inaccuracies of such financial statements are considered first . THE FINANCIAL STATEMENTS FILED Our original notices and orders for hearings in these consolidated ...
... filed by the registrant , and accordingly the inadequacies and inaccuracies of such financial statements are considered first . THE FINANCIAL STATEMENTS FILED Our original notices and orders for hearings in these consolidated ...
Page 11
... filed previously . We consider first the corporate and consolidated financial statements of Red Bank . The financial statements of Seatex , a subsidiary not consolidated , will be discussed separately . In the years 1940-42 Red Bank had ...
... filed previously . We consider first the corporate and consolidated financial statements of Red Bank . The financial statements of Seatex , a subsidiary not consolidated , will be discussed separately . In the years 1940-42 Red Bank had ...
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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...