Hearings, Reports and Prints of the Senate Committee on Banking and CurrencyU.S. Government Printing Office, 1959 |
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기타 출판본 - 모두 보기
자주 나오는 단어 및 구문
affiliated person Alleghany Corp assets authority bill broker or dealer broker-dealer brokers and dealers centum Chairman Commission's committee corporation court directors effective date Exchange Commission exemption face-amount certificate face-amount certificate company Federal Savings filed holding company injunction Interstate Commerce Interstate Commerce Act Interstate Commerce Commission Investment Advisers Act Investment Company Act investment counsel issuer jurisdiction legislation liability Loan Association national securities exchange necessary or appropriate officers outstanding pany paragraph payment percent prescribe proceeding prohibit proposed amendment protection of investors provisions public interest purchase pursuant registered investment company registration statement respect rule or regulation rules and regulations Savings & Loan savings and loan section 15 Securities Act Securities and Exchange Securities Exchange Act Senator BUSH Senator WILLIAMS specific statute stockholders subsection thereof thereunder tion trading transactions trustee U.S. Senate unit investment trust unlawful violation withdrawal York Stock Exchange
인기 인용구
408 페이지 - ... security," or any certificate of interest or participation in, temporary or interim certificate for, receipt for, guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing.
495 페이지 - security' means any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas or other mineral rights or, in general, any interest or instrument commonly known as a 'security', or any certificate...
299 페이지 - Commission under this title may obtain a review of such order in the circuit court of appeals of the United States within any circuit wherein such person resides or has his principal place of business, or in the United States Court of Appeals for the District of Columbia, by filing in such court, within sixty days after the entry of such order, a written petition praying that the order of the Commission be modified or set aside in whole or in part.
298 페이지 - Commission, there to produce records, if so ordered, or to give testimony touching the matter under investigation or in question; and any failure to obey such order of the court may be punished by such court as a contempt thereof.
245 페이지 - Commission, on the ground that the testimony or evidence, documentary or otherwise, required of him, may tend to incriminate him or subject him to a penalty or forfeiture; but no individual shall be prosecuted or subjected to any penalty or forfeiture for or on account of any transaction, matter, or thing concerning which he is compelled, after having claimed his privilege against selfincrimination...
228 페이지 - If either party shall apply to the court for leave to adduce additional evidence and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for...
350 페이지 - Unless a registration statement is in effect as to a security, it shall be unlawful for any person directly or indirectly (1) to make use of any means or instruments of transportation or communication in interstate commerce or of the mails...
299 페이지 - The judgment and decree of the court shall be final, subject to review by the Supreme Court of the United States upon certiorari or certification as provided in sections 239 and 240 of the Judicial Code, as amended (USC, title 28, sees. 346 and 347).
233 페이지 - Underwriter" means any person who has purchased from an issuer with a view to, 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, or participates or has a participation in the direct or indirect underwriting of any such undertaking; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary distributors...
494 페이지 - ... under the laws ,of any State or of the United 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...