Decisions and Reports, Volume 25U.S. Government Printing Office, 1953 |
From inside the book
Results 1-5 of 100
Page 36
... requirements of the Rule and deliberately failed to comply therewith ; that he has willfully violated Section 17 ( a ) of the Act and Rule X - 17A - 5 pro- mulgated thereunder ; and that it is necessary in the public interest to revoke ...
... requirements of the Rule and deliberately failed to comply therewith ; that he has willfully violated Section 17 ( a ) of the Act and Rule X - 17A - 5 pro- mulgated thereunder ; and that it is necessary in the public interest to revoke ...
Page 61
... requirements on the first and second preferred stocks issued pursuant to the earlier reorganization , we conclude that the issuance of preferred stock by Seattle is precluded . The contentions of the proponents of the Shea Plan must be ...
... requirements on the first and second preferred stocks issued pursuant to the earlier reorganization , we conclude that the issuance of preferred stock by Seattle is precluded . The contentions of the proponents of the Shea Plan must be ...
Page 68
... requirements through 1950 , as estimated in a schedule annexed to the agreement . The schedule indicates that such requirements will increase from approximately 19,500,000 Mcf in 1947 to approximately 24,500,000 Mef in 1950. For each of ...
... requirements through 1950 , as estimated in a schedule annexed to the agreement . The schedule indicates that such requirements will increase from approximately 19,500,000 Mcf in 1947 to approximately 24,500,000 Mef in 1950. For each of ...
Page 71
... requirements of sub- sections ( b ) and ( c ) of Rule U - 50 with respect to the issuance and sale of common stock of Storage Company to Panhandle . The acquisition by Consumers of Storage Company common stock both from its nominees and ...
... requirements of sub- sections ( b ) and ( c ) of Rule U - 50 with respect to the issuance and sale of common stock of Storage Company to Panhandle . The acquisition by Consumers of Storage Company common stock both from its nominees and ...
Page 82
... requirements : Be- fore annual appropriation of $ 1,380 , - 000 for construction and / or bond acquisition .. ......... 2.88 3.07 2.94 2.54 2.44 After appropriation noted above .. 2.32 2.52 2.37 1.99 ( ) Denotes red figure ...
... requirements : Be- fore annual appropriation of $ 1,380 , - 000 for construction and / or bond acquisition .. ......... 2.88 3.07 2.94 2.54 2.44 After appropriation noted above .. 2.32 2.52 2.37 1.99 ( ) Denotes red figure ...
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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...