Municipal Securities Full Disclosure Act of 1976: Hearing Before the Subcommittee on Consumer Protection and Finance of the Committee on Interstate and Foreign Commerce, House of Representatives, Ninety-fourth Congress, Second Session ... August 31, 1976U.S. Government Printing Office, 1977 - 112ÆäÀÌÁö |
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... EXCHANGE ACT OF 1934 TO REQUIRE THE PREPARATION OF ANNUAL REPORTS AND DISTRIBUTION STATEMENTS BY ISSUERS OF MUNICIPAL SECURITIES , AND FOR OTHER PURPOSES 81-205 O AUGUST 31 , 1976 Serial No. 94-144 Printed for the use of the Committee ...
... EXCHANGE ACT OF 1934 TO REQUIRE THE PREPARATION OF ANNUAL REPORTS AND DISTRIBUTION STATEMENTS BY ISSUERS OF MUNICIPAL SECURITIES , AND FOR OTHER PURPOSES 81-205 O AUGUST 31 , 1976 Serial No. 94-144 Printed for the use of the Committee ...
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... Exchange Commission Kezer , Richard F. , president , Dealer Bank Association _ - _ . Loomis , Hon . Philip A. , Jr. , Commissioner , Securities and Exchange Commission 39 Petersen , John E. , economist / principal investigator , MFOA ...
... Exchange Commission Kezer , Richard F. , president , Dealer Bank Association _ - _ . Loomis , Hon . Philip A. , Jr. , Commissioner , Securities and Exchange Commission 39 Petersen , John E. , economist / principal investigator , MFOA ...
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... Exchange Act of 1934 to require the preparation of annual reports and distribution statements by issuers of municipal securities , and for other purposes . 1 Be it enacted by the Senate and House of Representa- 2 tives of the United ...
... Exchange Act of 1934 to require the preparation of annual reports and distribution statements by issuers of municipal securities , and for other purposes . 1 Be it enacted by the Senate and House of Representa- 2 tives of the United ...
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... ( 1 ) of the Securities Exchange Act 17 of 1934 is amended by striking out " Neither the Commission 18 nor the Board is " and inserting in lieu thereof " The Board 19 is not " . [ H.R. 10606 , introduced by Mr. Solarz on November 15.
... ( 1 ) of the Securities Exchange Act 17 of 1934 is amended by striking out " Neither the Commission 18 nor the Board is " and inserting in lieu thereof " The Board 19 is not " . [ H.R. 10606 , introduced by Mr. Solarz on November 15.
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... Exchange Commission to regulate the issuance and trading of munic- ipal bonds and similar securities . 1 Be it enacted by the Senate and House of Representa- 2 tives of the United States of America in Congress assembled , SECTION 1. ( a ) ...
... Exchange Commission to regulate the issuance and trading of munic- ipal bonds and similar securities . 1 Be it enacted by the Senate and House of Representa- 2 tives of the United States of America in Congress assembled , SECTION 1. ( a ) ...
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accepted accounting principles agencies AICPA AMERICAN INSURANCE ASSOCIATION amount annual report antifraud provisions appropriate audited authority banks believe bill Certified Public Accountants Chairman Commerce Clause Committee CONGRESS THE LIBRARY corporate securities costs Court credit quality dealers debt decision default disclosed disclosure guidelines disclosure requirements distribution statement enacted enterprise enterprise's Ernst & Ernst Exchange Commission exemption Federal securities laws Finance Officers Association financial information financial reporting financial statements fiscal GERARD Governmental Accounting interest investigation issuance issuers of municipal issues KEZER League of Cities liability LIBRARY OF CONGRES LIBRARY OF CONGRESS LOOMIS material MCCOLLISTER ments MFOA municipal bond market municipal disclosure Municipal Finance Officers municipal issuers municipal market municipal securities market MURPHY National League official statements outstanding Petersen practices prescribe problems question regulation responsibility Section 13A Securities and Exchange securities being offered Senate subcommittee taxpayers tion underwriters Usery VINYARD York City
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71 ÆäÀÌÁö - ... (a) To employ any device, scheme, or artifice to defraud, (b) 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 as a fraud or deceit upon any person, in connection with the purchase or sale of any security.
71 ÆäÀÌÁö - 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.
71 ÆäÀÌÁö - 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, 1.
67 ÆäÀÌÁö - ... or any of its subsidiaries is a party or of which any of their property is the subject. Include the name of the court or agency in which the proceedings are pending, the date instituted, the principal parties thereto, a description of the factual basis alleged to underlie the proceeding and the relief sought.
68 ÆäÀÌÁö - Provisions permitting or restricting the issuance of additional securities, the withdrawal of cash deposited against such issuance, the incurring of additional debt, the release or substitution of assets securing the issue, the modification of the terms of the security, and similar provisions.
92 ÆäÀÌÁö - State to act impartially when it hires or fires the janitor, to withhold taxes from his pay check, to observe safety regulations when he is performing his job, to forbid him from burning too much soft coal in the capitol furnace, from dumping untreated refuse in an adjacent waterway, from overloading a state-owned garbage truck or from driving either the truck or the governor's limousine over 55 miles an hour. Even though these and many other activities of the capitol janitor are activities of the...
71 ÆäÀÌÁö - SEC v. Texas Gulf Sulphur Co., 401 F.2d 833, 849 ( 2d Cir. 1968) (en bane), cert, denied, 394 US 976 (1969).
91 ÆäÀÌÁö - One undoubted attribute of state sovereignty is the States' power to determine the wages which shall be paid to those whom they employ in order to carry out their governmental functions, what hours those persons will work, and what compensation will be provided where these employees may be called upon to work overtime. The question we must resolve here, then, is whether these determinations are " 'functions essential to separate and independent existence,' " so that Congress may not abrogate the...
63 ÆäÀÌÁö - ... of equipment. If any substantial portion of the proceeds has not been allocated for particular purposes, a statement to that effect shall be made together with a statement of the amount of proceeds not so allocated. 2.
22 ÆäÀÌÁö - Congress may not exercise that power so as to force directly upon the States its choices as to how essential decisions regarding the conduct of integral governmental functions are to be made.