Decisions and Reports, Volume 25U.S. Government Printing Office, 1953 |
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Results 1-5 of 100
Page 28
... pursuant to Section 15A ( b ) ( 4 ) of the Securities Exchange Act of 1934 ( " the Act " ) . 1 1 Section 15A ( b ) ( 4 ) provides in pertinent part : 46 except with the approval or at the direction of the Commission in cases in which ...
... pursuant to Section 15A ( b ) ( 4 ) of the Securities Exchange Act of 1934 ( " the Act " ) . 1 1 Section 15A ( b ) ( 4 ) provides in pertinent part : 46 except with the approval or at the direction of the Commission in cases in which ...
Page 47
... pursuant to Section 11 ( e ) of the Act to comply with Section 11 ( b ) ( 2 ) of the Act . On April 13 , 1945 , the Commission instituted proceedings with respect to Seattle under Sections 11 ( b ) , 15 ( f ) and 20 ( a ) of the Act ...
... pursuant to Section 11 ( e ) of the Act to comply with Section 11 ( b ) ( 2 ) of the Act . On April 13 , 1945 , the Commission instituted proceedings with respect to Seattle under Sections 11 ( b ) , 15 ( f ) and 20 ( a ) of the Act ...
Page 50
... pursuant to Section 77B of the Bankruptcy Act , the amounts in the plant and property accounts and the depreciation reserve account of Seattle were restated pursuant to determinations made by the Board of Directors of the company as of ...
... pursuant to Section 77B of the Bankruptcy Act , the amounts in the plant and property accounts and the depreciation reserve account of Seattle were restated pursuant to determinations made by the Board of Directors of the company as of ...
Page 59
... pursuant to Section 11 ( d ) by persons other than the manage- ments of the companies involved . Even where we have permitted such plans to be filed pursuant to Section 11 ( d ) we have held that entertainment of such plans is ...
... pursuant to Section 11 ( d ) by persons other than the manage- ments of the companies involved . Even where we have permitted such plans to be filed pursuant to Section 11 ( d ) we have held that entertainment of such plans is ...
Page 65
... pursuant to Section 6 ( b ) of the Act . ACQUISITION OF UTILITY ASSETS BY SUBSIDIARY Application - declaration pursuant to Sections 10 and 12 ( f ) of the Act and Rule U - 43 thereunder regarding acquisition by subsidiary of registered ...
... pursuant to Section 6 ( b ) of the Act . ACQUISITION OF UTILITY ASSETS BY SUBSIDIARY Application - declaration pursuant to Sections 10 and 12 ( f ) of the Act and Rule U - 43 thereunder regarding acquisition by subsidiary of registered ...
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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...