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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2 ÆäÀÌÁö
... officer or officers , the principal financial officer or officers , and the directors , trustees , or managers ; if there is no board of directors , by the persons or board having the power of management of the person , corpo- ration ...
... officer or officers , the principal financial officer or officers , and the directors , trustees , or managers ; if there is no board of directors , by the persons or board having the power of management of the person , corpo- ration ...
3 ÆäÀÌÁö
... officers , if the issuer be a corporation or association or trust ; of all partners , if the issuer be a partnership ; and of the issuer , if the issuer be an individual . ( 3 ) The purposes of incorporation , if incorporated , and the ...
... officers , if the issuer be a corporation or association or trust ; of all partners , if the issuer be a partnership ; and of the issuer , if the issuer be an individual . ( 3 ) The purposes of incorporation , if incorporated , and the ...
4 ÆäÀÌÁö
... officer or officers desig- nated by it shall have access to and may compel the production of all the books and papers of such issuer , representatives , or underwriters , and may administer oaths to and examine the officers of such ...
... officer or officers desig- nated by it shall have access to and may compel the production of all the books and papers of such issuer , representatives , or underwriters , and may administer oaths to and examine the officers of such ...
5 ÆäÀÌÁö
... officers , directors , and trustees of the issuer or of the owner of the property constituting the basis of the issue . ( e ) A statement showing- ( 1 ) The issuer's assets and liabilities . ( 2 ) Profits and loss during year just ...
... officers , directors , and trustees of the issuer or of the owner of the property constituting the basis of the issue . ( e ) A statement showing- ( 1 ) The issuer's assets and liabilities . ( 2 ) Profits and loss during year just ...
6 ÆäÀÌÁö
... officers of the Govern- ment of the United States ; or any such security issued by any national bank ; or by any corporation created and controlled by and acting as an instrumentality of the Government of the United States pursuant to ...
... officers of the Govern- ment of the United States ; or any such security issued by any national bank ; or by any corporation created and controlled by and acting as an instrumentality of the Government of the United States pursuant 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.