Laws Relating to Securities Commission, Exchanges and Holding Companies ...U.S. Government Printing Office, 1964 |
목차
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자주 나오는 단어 및 구문
amended amount application approval assets authority broker or dealer centum Commission may prescribe contract corporation court creditors debtor debtor in possession directly or indirectly documents effective date face-amount certificate face-amount certificate company Federal Reserve Board filed indenture trustee instrumentality of interstate interstate commerce investment adviser investors or consumers issuer jurisdiction liability licensee mails March 15 means or instrumentality ment national securities exchange necessary or appropriate obligor officer opportunity for hearing order thereunder otherwise pany paragraph payment petition prescribe as necessary prior proceeding prospectus protection of investors public interest public utility public-utility company purchase purposes pursuant reasonable registered holding company registered investment company registration statement regulations or order regulations thereunder respect rule or regulation rules and regulations Securities Act security issued specified stockholders subsection subsidiary company thereof therein tion transactions treasury stock unit investment trust United unlawful unless violation
인기 인용구
263 페이지 - ... securities act of 1933, as amended in 1934, are relevant. These sections follow: "Sec. 2. When used in this title, unless the context otherwise requires — "(1) The term '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...
118 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 self-incrimination...
45 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.
92 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.
46 페이지 - Board, on the ground that the testimony or evidence 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 self-incrimination, to testify or produce evidence, except that such individual so testifying shall not be exempt from prosecution and punishment for...
63 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.
299 페이지 - Commission with respect to registration, any statement which was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact...
93 페이지 - The District Courts of the United States, the Supreme Court of the District of Columbia, and the United States courts of any Territory or other place subject to the jurisdiction of the United States shall have jurisdiction of violations of this title or the rules, regulations, or orders thereunder...
274 페이지 - sell" includes every contract of sale of, contract to sell, or disposition of, a security or interest in a security for value; (2) "Offer" or "offer to sell" includes every attempt or offer to dispose of, or solicitation of an offer to buy, a security or interest in a security for value...
47 페이지 - No objection to the order of the Commission shall be considered by the court unless such objection shall have been urged before the Commission.