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 - 349ÆäÀÌÁö |
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... James , C. Clinton ...... . MacLean , M. H. Miller , Walter L. Thompson , Hon . Huston .. Tucker , Arthur R .. Woodhouse , Henry . 55 233 137 183 286 288 211 201 , 238 50 227 112 69 , 95 , 113 , 200 9 18 III HG4421 A2A5 19336-
... James , C. Clinton ...... . MacLean , M. H. Miller , Walter L. Thompson , Hon . Huston .. Tucker , Arthur R .. Woodhouse , Henry . 55 233 137 183 286 288 211 201 , 238 50 227 112 69 , 95 , 113 , 200 9 18 III HG4421 A2A5 19336-
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... Thompson . Mr. Thompson , will you please come before the committee table , and state your full name , address , and occupation ? Senator ADAMS . And don't forget the Colorado end of your address . Mr. THOMPSON . And Colorado ...
... Thompson . Mr. Thompson , will you please come before the committee table , and state your full name , address , and occupation ? Senator ADAMS . And don't forget the Colorado end of your address . Mr. THOMPSON . And Colorado ...
70 ÆäÀÌÁö
... THOMPSON . Since 1908 , yes . The CHAIRMAN . And the last amendment I think was made in 1929 . Mr. THOMPSON . 1929 is right . The CHAIRMAN . Very well ; you may continue . Mr. THOMPSON . The British Companies Act was in a sense ...
... THOMPSON . Since 1908 , yes . The CHAIRMAN . And the last amendment I think was made in 1929 . Mr. THOMPSON . 1929 is right . The CHAIRMAN . Very well ; you may continue . Mr. THOMPSON . The British Companies Act was in a sense ...
71 ÆäÀÌÁö
... THOMPSON . Yes , sir . And they were trying to get a uniform act . Senator BARKLEY . All right . Mr. THOMPSON . We had also before us the Sabath bill , introduced by Representative Sabath . It was intended to cover the subject of fraud ...
... THOMPSON . Yes , sir . And they were trying to get a uniform act . Senator BARKLEY . All right . Mr. THOMPSON . We had also before us the Sabath bill , introduced by Representative Sabath . It was intended to cover the subject of fraud ...
72 ÆäÀÌÁö
... THOMPSON . Certainly . Senator STEIWER . What is there in the bill to prevent the sale of securities through a stock exchange ? Mr. THOMPSON . Only this , that this bill is what you might term prophylactic . When a person is about to ...
... THOMPSON . Certainly . Senator STEIWER . What is there in the bill to prevent the sale of securities through a stock exchange ? Mr. THOMPSON . Only this , that this bill is what you might term prophylactic . When a person is about to ...
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advertising amendment amount application banks bill Blue Sky Laws bonds BREED building and loan BULKLEY BUTLER capital CARTER certificate CHAIRMAN clause commercial paper committee CONGRESS THE LIBRARY corporation court DEAN directors District of Columbia dollars exempt fact Federal Securities Act Federal Trade Commission filed foreign government fraudulent HARVEY HEALY HOLTZOFF income interposing Interstate Commerce Commission investment banker investor issuer J. P. Morgan legislation liability LIBRARY OF CONGRESS loan associations 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 suggest thereof THOMPSON tion transactions TUCKER underwriting United WOODHOUSE York York Stock Exchange
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8 ÆäÀÌÁö - ... to produce documentary evidence if so ordered, or to give evidence touching the matter in question; and any failure to obey such order of the court may be punished by such court as a contempt thereof.
98 ÆäÀÌÁö - State of the United States, or by any political subdivision of a State or Territory, or by any public instrumentality of one or more States or Territories, or by any person controlled or supervised by and acting as an instrumentality of the Government of the United States...
330 ÆäÀÌÁö - These contracts are not articles of commerce in any proper meaning of the word. They are not subjects of trade and barter offered in the market as something having an existence and value independent of the parties to them. They are not commodities to be shipped or forwarded from one State to another, and then put up for sale.
8 ÆäÀÌÁö - Judgments and decrees so rendered shall be subject to review as provided in sections 128 and 240 of the Judicial Code, as amended (USC, title 28, sees. 225 and 347).
347 ÆäÀÌÁö - Any security exchanged by the issuer with its existing security holders exclusively where no commission or other remuneration is paid or given directly or indirectly for soliciting such exchange...
120 ÆäÀÌÁö - Any note, draft, bill of exchange or banker's acceptance which arises out of a current transaction or the proceeds of which have been or are to be used for current transactions...
50 ÆäÀÌÁö - ... (2) Any security issued or guaranteed . by the United States or any Territory thereof, or by the District of Columbia, or by any State of the United States, or by any political subdivision of a State or Territory, or by any public instrumentality of one or more States or Territories...
8 ÆäÀÌÁö - Upon the application of the Attorney General of the United States, at the request of the commission, the district courts of the United States shall have jurisdiction to issue writs of mandamus commanding any person or corporation to comply with the provisions of this Act or any order of the commission made in pursuance thereof.
7 ÆäÀÌÁö - ... made in the course of repeated and successive transactions of a like character by such owner, or on his account by such representative, and such owner or representative not being the underwriter of such security.
107 ÆäÀÌÁö - 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.