Decisions and Reports, Volume 39U.S. Government Printing Office, 1962 |
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Common terms and phrases
Act and Rule Act of 1934-Sections amount application for registration assets basis books and records broker and dealer broker or dealer capital cash Cenpuc cents per share Comico Commission Chairman Gadsby Commissioners Orrick common stock Corporation customers Debtor December 31 directors dividends Division of Trading effect false and misleading FINDINGS AND OPINION funds Gadsby and Commissioners hearing examiner holders income investment company issuer lease material facts misleading statements NASD national securities exchange offering circular officers operating order for proceedings order of revocation outstanding par value payment preferred stock prospectus protection of investors provides public interest purchase pursuant to Section Radium King regis registered broker-dealer registration statement Regulation respect revoke the registration rule thereunder sale of securities Section 15 Section 17(a Securities Act Securities Exchange Act sold stockholders stop order suspending tion underwriter Uranium Valic variable annuity violation of Section willfully violated Section withdrawal
Popular passages
Page 79 - If it appears to the Commission at any time that the registration statement includes 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...
Page 413 - 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 916 - ... from engaging in or continuing any conduct or practice in connection with any such activity, or in connection with the purchase or sale of any security...
Page 711 - States, a substantial portion of the business of which consists of receiving deposits or exercising fiduciary powers similar to those permitted to national banks under section...
Page 284 - ... made untrue statements of material facts and omitted to state material facts necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading; and engaged in acts, practices and courses of business which operated or would operate as a fraud and deceit.
Page 342 - The Commission may disqualify, and deny, temporarily or permanently, the privilege of appearing or practicing before it in any way to any person who is found by the Commission after...
Page 333 - ... for the purpose of raising or depressing the prices of such security. (4) If a dealer or broker, or other person selling or offering for sale or purchasing or offering to purchase the security, to make, regarding any security registered on a national securities exchange, for the purpose of inducing the. purchase or sale of such security...
Page 711 - ... 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 145 - To require by order, after notice and opportunity for hearing, that each registered holding company, and each subsidiary company thereof, shall take such action as the Commission shall find necessary to limit the operations of the holding-company system of which such company is a part to a single integrated public-utility system...
Page 356 - ... (2) to obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact necessary in order to make the statements made, in...