Annual Report of the SEC.U.S. Government Printing Office, 1960 |
Other editions - View all
Common terms and phrases
action amended American Stock Exchange amicus curiae amount anti-fraud provisions application assets bonds broker broker-dealer registration capital Commis Commission found Commission's common stock Company Act Release Complaint filed consent Corp Corporation dealer December 31 defendants denied directors disclose dismissed District Court effective Electric Exchange Act Release exemption failed false and misleading fiscal fiscal year 1960 Holding Company Act investment adviser Investment Company Act investors issuer issues July June 30 ment million Mines Ltd misleading statements NASD national securities exchange officers pany pending percent persons petition preferred stock Preliminary injunction proceedings proposed proxy Public Utility Holding purchase pursuant regis registered holding company registrant's registration statement Regulation respect revocation Rule Section Securities Act Release Securities Exchange Act shares sold Southern District stockholders subsidiaries suspending tion Title 18 transactions Trust underwriter United States District Utility Holding Company violations York Stock Exchange
Popular passages
Page 142 - Department of the Wharton School of Finance and Commerce of the University of Pennsylvania.
Page 14 - Commission pursuant to section 13 or 15 (d) of the Securities Exchange Act of 1934...
Page 205 - material", when used to qualify a requirement for the furnishing of information as to any subject, limits the information required to those matters as to which an average prudent investor ought reasonably to be informed before purchasing the security registered.
Page 78 - Every person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of any equity security (other than an exempted security) which is registered on a national securities exchange, or who is a director or an officer of the issuer of such security...
Page 18 - Commission may, in its discretion, make such investigations as it deems necessary to determine whether any person has violated or is about to violate...
Page 32 - 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 45 - ... 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 vi - Commission is responsible for the administration and enforcement of the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.
Page 165 - ... 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 122 - Section 10 (b) of the Securities Exchange Act of 1934, and Rule 10b-5 thereunder.