Decisions and Reports, 11±ÇU.S. Government Printing Office, 1945 |
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... Trust Indenture Act of 1939 , Title III of Securities Act of 1933 . ' Section numbers in italic type , if any , refer to the Investment Advisers Act of 1940 . Invest- Securi- ties Act of 1933 ment Com- Securi- Public 11 S. E. C..
... Trust Indenture Act of 1939 , Title III of Securities Act of 1933 . ' Section numbers in italic type , if any , refer to the Investment Advisers Act of 1940 . Invest- Securi- ties Act of 1933 ment Com- Securi- Public 11 S. E. C..
10 ÆäÀÌÁö
... investment portfolio . They do not , however , reflect any income from other substantial portfolio investments which , al- though not now on a dividend paying basis , had a market value as of December 31 , 1941 , of $ 2,110,270 . 6 The ...
... investment portfolio . They do not , however , reflect any income from other substantial portfolio investments which , al- though not now on a dividend paying basis , had a market value as of December 31 , 1941 , of $ 2,110,270 . 6 The ...
28 ÆäÀÌÁö
... investment in Clarion amounted to approximately $ 4,990 which represents a return on the proposed purchase price of ap- proximately 6.6 % . The contracts between Northeastern and AELEC and GENGAS are mutually dependent . In other words ...
... investment in Clarion amounted to approximately $ 4,990 which represents a return on the proposed purchase price of ap- proximately 6.6 % . The contracts between Northeastern and AELEC and GENGAS are mutually dependent . In other words ...
54 ÆäÀÌÁö
... investment is the on of such a reorganization of Gas Company as will make be the disposition by Ogden of its entire investment therein , ve : is it the same time , the placing of Gas Company in a financial Sir , ceu more conducive to ...
... investment is the on of such a reorganization of Gas Company as will make be the disposition by Ogden of its entire investment therein , ve : is it the same time , the placing of Gas Company in a financial Sir , ceu more conducive to ...
74 ÆäÀÌÁö
... investments only for its permanent investment , when in fact the Syndicate was actively trad- ing at the time in oil investments ; ( 8 ) That the Syndicate had statistical facilities , maps , drilling reports , and a reporting service ...
... investments only for its permanent investment , when in fact the Syndicate was actively trad- ing at the time in oil investments ; ( 8 ) That the Syndicate had statistical facilities , maps , drilling reports , and a reporting service ...
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acquisition appropriate approval assets balance sheet Boston Stock Exchange capital surplus carrying value cash Columbia Gas Commission common stock Commonwealth consolidated dealer debentures December 31 depreciation reserve Detroit Stock Exchange dividends earned surplus Electric Company exemption filed FINDINGS AND OPINION Gas and Electric Gas Company held Holding Company Act holding company system Illinois Iowa income issuance issue Light & Power Light Company North American operating outstanding pany par value payment percent Philadelphia Stock Exchange Power and Light Power Company preferred stock principal amount proceeding properties proposed public interest Public Service Company Public Utility Holding purchase pursuant to Section record registered holding company registrant registrant's reorganization requirements reserve respect respondent Rule Section 11 Securities Exchange Act security holders shares Southwestern Stock Exchange stockholders subsidiary companies tion Total transactions trust utility company Utility Holding Company voting power York Curb Exchange York Stock Exchange
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154 ÆäÀÌÁö - In the holdingcompany system does not unduly or unnecessarily complicate the structure, or unfairly or inequitably distribute voting power among security holders, of such holdingcompany system.
641 ÆäÀÌÁö - ... in connection with, the distribution of any security or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in the direct or indirect underwriting of any such undertaking; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary distributor's or seller's commission. As used in this paragraph the term "issuer...
635 ÆäÀÌÁö - No broker or dealer shall make use of the mails or of any means or instrumentality of interstate commerce to effect any transaction in, or to induce or attempt to induce the purchase or sale of, any security (other than an exempted security or commercial paper, bankers...
707 ÆäÀÌÁö - ... per centum or more of whose outstanding voting securities are directly or indirectly owned, controlled, or held with power to vote, by such...
635 ÆäÀÌÁö - ... (1) to employ any device, scheme, or artifice to defraud, or (2) to obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading, or (3) to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser.
214 ÆäÀÌÁö - States, or in a contiguous foreign country; and (C) The continued combination of such systems under the control of such holding company is not so large (considering the state of the art and the area or region affected) as to impair the advantages of localized management, efficient operation, or the effectiveness of regulation.
207 ÆäÀÌÁö - And be it further enacted, That the said State shall consist of all the territory included within the following boundaries, to wit...
597 ÆäÀÌÁö - It shall be unlawful for any person in the offer or sale of any securities by the use of any means or instruments of transportation or communication in interstate commerce or by the use of the mails, directly or indirectly — (1) to employ any device, scheme, or artifice to defraud, or...
641 ÆäÀÌÁö - SEC. 5. (a) Unless a registration statement is in effect as to a security, it shall be unlawful for any person, directly or indirectly — (1) to make use of any means or instruments of transportation or communication in interstate commerce or of the mails to sell or offer to buy such security through the use or medium of any prospectus or otherwise...
856 ÆäÀÌÁö - ... is engaged or proposes to engage in the business of investing, reinvesting, owning, holding, or trading in securities, and owns or proposes to acquire investment securities having a value exceeding 40 per centum of the value of such issuer's total assets (exclusive of Government securities and cash items) on an unconsolidated basis. As used in this section, "investment securities" includes all securities except (A) Government securities, (B) securities issued by employees' securities companies,...