Securities Act: Hearings Before the Committee on Banking and Currency, United States Senate, Seventy-third Congress, First Session, on S. 875, a Bill to Provide for the Furnishing of Information and the Supervision of Traffic in Investment Securities in Interstate Commerce, March 31 to April 8, 1933U.S. Government Printing Office, 1933 - 349페이지 |
도서 본문에서
91개의 결과 중 1 - 5개
2 페이지
... transactions exempted by sections 11 and 12 of this Act . SEC . 4. That all securities heretofore referred to in section 3 of this Act shall be registered with the Commission under the terms and conditions hereinafter provided , by ...
... transactions exempted by sections 11 and 12 of this Act . SEC . 4. That all securities heretofore referred to in section 3 of this Act shall be registered with the Commission under the terms and conditions hereinafter provided , by ...
4 페이지
... transactions ; or ( c ) Is in any other way dishonest or has made any fraudulent representations in any prospectus or in any circular or other literature that has been distributed concerning such issuer or person or securities ...
... transactions ; or ( c ) Is in any other way dishonest or has made any fraudulent representations in any prospectus or in any circular or other literature that has been distributed concerning such issuer or person or securities ...
6 페이지
... transaction and to obtain the return , either at law or in equity , of any and all consideration given or paid for any such securities upon the surrender thereof , either from any vendor knowing of such falsity or from the persons ...
... transaction and to obtain the return , either at law or in equity , of any and all consideration given or paid for any such securities upon the surrender thereof , either from any vendor knowing of such falsity or from the persons ...
7 페이지
... transactions : ( a ) Judicial , executor's , administrator's , guardian's , or conservator's sale , or any sale by a receiver or trustee in insolvency or bankruptcy . ( b ) Sales by or for the account of a pledge holder or mortgagee ...
... transactions : ( a ) Judicial , executor's , administrator's , guardian's , or conservator's sale , or any sale by a receiver or trustee in insolvency or bankruptcy . ( b ) Sales by or for the account of a pledge holder or mortgagee ...
8 페이지
... transactions and / or institute the necessary criminal proceeding under section 17 of this Act . The exemptions contained in sections 11 and 12 of this Act shall not apply to the provisions of this section ( 13 ) . SEC . 14. That it ...
... transactions and / or institute the necessary criminal proceeding under section 17 of this Act . The exemptions contained in sections 11 and 12 of this Act shall not apply to the provisions of this section ( 13 ) . SEC . 14. That it ...
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advertising amendment amount application Attorney authority banks bill blue sky laws bonds BREED building and loan BULKLEY BUTLER capital CARTER certificate CHAIRMAN clause commercial paper committee corporation court DEAN directors District of Columbia dollars exempt fact Federal Securities Act Federal Trade Commission filed foreign government fraudulent HARVEY HEALY holders HOLTZOFF income interposing Interstate Commerce Commission investment banker investor issuer J. P. Morgan legislation liability loan associations MACLEAN ment offered officer percent person principal proposed provisions purchase question registration statement regulations revocation revoke sale of securities section 14 Securities Act securities issued Senator ADAMS Senator BARKLEY Senator BYRNES Senator CoSTIGAN Senator COUZENS Senator GORE Senator KEAN Senator MCADOO Senator REYNOLDS Senator STEIWER Senator WAGNER Senator WALCOTT sold statute subdivision suggest thereof THOMPSON tion transactions TUCKER underwriting United WOODHOUSE York York Stock Exchange