Foreign Investment in the United States: Hearing Before the Subcommittee on International Trade, Investment and Monetary Policy of ... , 94-1, September 24, 19751975 - 216 pages |
From inside the book
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Page 20
... issuers of securities registered under the Exchange Act can maintain a list , to be filed with the Securities and Exchange Commission ( the " Commission " ) , stating the names and nation- alities of the beneficial owners of their ...
... issuers of securities registered under the Exchange Act can maintain a list , to be filed with the Securities and Exchange Commission ( the " Commission " ) , stating the names and nation- alities of the beneficial owners of their ...
Page 21
... issuers of securities can compile lists of their beneficial owners . Thus , the bill imposes an obligation on every holder of record , for another person , of any security described in Section 13 ( d ) to file certain reports with the ...
... issuers of securities can compile lists of their beneficial owners . Thus , the bill imposes an obligation on every holder of record , for another person , of any security described in Section 13 ( d ) to file certain reports with the ...
Page 22
... issuer and each exchange where the security is traded , a statement containing information specified in the subsection , as well as anv additional information the Commission by rule may prescribe . The Commission has adopted a form for ...
... issuer and each exchange where the security is traded , a statement containing information specified in the subsection , as well as anv additional information the Commission by rule may prescribe . The Commission has adopted a form for ...
Page 26
... issuers with securities registered under Section 12 of the Exchange Act . 6 / Since beneficial ownership would encompass voting rights , including shared voting rights , this provision might require reports by more than one person with ...
... issuers with securities registered under Section 12 of the Exchange Act . 6 / Since beneficial ownership would encompass voting rights , including shared voting rights , this provision might require reports by more than one person with ...
Page 28
... issuer involved . 7 / Also , Section 13 ( f ) specifies that the Commission shall require that the Section 13 ( f ) ... issuer theretofore available to the public , to the facility with which the nature , of the securities to be registered ...
... issuer involved . 7 / Also , Section 13 ( f ) specifies that the Commission shall require that the Section 13 ( f ) ... issuer theretofore available to the public , to the facility with which the nature , of the securities to be registered ...
Common terms and phrases
acquire acquisition agencies amount annual report antitrust laws applicable authority beneficial owner beneficial ownership bill broker broker-dealers class of equity class of securities class of voting Commerce Commission's Committee Copperweld corporations Depository Trust Company directly or indirectly domestic enforcement equity securities federal securities laws filed five percent foreign firms foreign investment holders of record Holding Company Act Imetal Investment Advisers Investment Company Act investors issue issuer Item KAUPER list the names ment merger nominee notification number of shares officers and directors PARSKY person power to direct proposed Rule proxy Public Utility Holding pursuant to Section record holder REES registrant to list registration statement regulations regulations 17 reporting requirements requires the registrant Schedule 13D Section 13(d Securities Act Securities Exchange Act security holders specific statute Subcommittee subsidiaries tender offer transaction unit investment trusts United States company Utility Holding Company voting securities voting trust
Popular passages
Page 75 - Whenever it shall appear to the Commission that any person is engaged or about to engage in any acts or practices which constitute or will constitute a violation...
Page 129 - Is, directly or indirectly, either alone or together with one or more members of his immediate family, the beneficial owner of 10 percent or more of any class of equity securities, (2) any trust or other estate in which such person has a substantial beneficial interest or as to which such person serves as trustee or in a similar fiduciary capacity, and (3) any relative or spouse of such person, or any relative of such spouse, who has the same home as such person or who is a director or officer of...
Page 74 - Commission or any officer or officers designated by it are empowered to administer oaths and affirmations, subpena witnesses, take evidence, and require the production of any books, papers, or other documents which the Commission deems relevant or material to the inquiry.
Page 75 - Commission under authority thereof, or any person who willfully, in a registration statement filed under this title, makes any untrue statement of a material fact or omits to state any material fact required to be stated therein or necessary to make the statements therein not misleading, shall upon conviction be fined not more than $5,000 or imprisoned not more than five years, or both.
Page 180 - Any corporation of which any officer or director is an alien or of which more than one-fifth of the capital stock is owned of record or voted by aliens or their representatives or by a foreign government or representative thereof or by any corporation organized under the laws of a foreign country...
Page 103 - N— 5, for registration statement of small business investment company under the Securities Act of 1933 and the Investment Company Act of 1940.
Page 149 - ... and, in the case of an annual meeting at which directors are to be elected, the number of copies of the. annual report to security holders, necessary to supply such material to such beneficial owners for whom proxy material has not been and is not to be made available.
Page 192 - ... Whenever the President after consultation with and receiving advice from the National Security Resources Board determines that it is in the interest of the national security for the Government to obtain prompt delivery of any articles or materials the procurement of which has been authorized by the Congress exclusively for the use of the armed forces of the United States, or for the use of the Atomic Energy Commission...
Page 76 - States court of any territory or other place subject to the jurisdiction of the United States, to enjoin such acts or practices, and upon a proper showing a permanent or temporary injunction or restraining order shall be granted without bond.
Page 75 - In case of contumacy by, or refusal to obey a subpoena issued to, any person, the Commission may invoke the aid of any court of the United States within the jurisdiction of which such investigation or proceeding is carried on, or where such person resides or carries on business, in requiring the attendance and testimony of witnesses and the production of books, papers, correspondence, memoranda...