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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1 ÆäÀÌÁö
... provisions of this Act : And provided further , That the issue or transfer of a right to subscribe to another security of the same issuer , when such right is 1 issued or transferred with the security to which it pertains.
... provisions of this Act : And provided further , That the issue or transfer of a right to subscribe to another security of the same issuer , when such right is 1 issued or transferred with the security to which it pertains.
2 ÆäÀÌÁö
... provisions of this Act ; but the sale of such other security upon the exercise of such right shall be subject to the provisions of this Act . ( d ) ¡° Issuer ¡± shall mean and include every person who issues , has issued , or proposes to ...
... provisions of this Act ; but the sale of such other security upon the exercise of such right shall be subject to the provisions of this Act . ( d ) ¡° Issuer ¡± shall mean and include every person who issues , has issued , or proposes to ...
4 ÆäÀÌÁö
... provisions of this Act , or any authorized order of the Commission of which such person or issuer has notice , but the burden of proof shall be on the person or persons asserting lack of notice ; or ( b ) Has been or is engaged or is ...
... provisions of this Act , or any authorized order of the Commission of which such person or issuer has notice , but the burden of proof shall be on the person or persons asserting lack of notice ; or ( b ) Has been or is engaged or is ...
5 ÆäÀÌÁö
... provisions of this section shall , within five days after distribution of such communications to prospective purchasers is begun , be filed with the Com- mission together with a reference to the original registration of the securities ...
... provisions of this section shall , within five days after distribution of such communications to prospective purchasers is begun , be filed with the Com- mission together with a reference to the original registration of the securities ...
6 ÆäÀÌÁö
... provision binding any person acquiring any of the securities offered to the public to waive compliance with any of the provisions of this Act , or of the rules and regulations , or of any requirement of the Commission herein provided ...
... provision binding any person acquiring any of the securities offered to the public to waive compliance with any of the provisions of this Act , or of the rules and regulations , or of any requirement of the Commission herein provided ...
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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.