Regulation of Sale Os Securities, Hearing Before a Subcommittee of ...,75-1 on S.2344 ...,June 9, 15, 22, and 29, 1937 |
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act as trustee action adequate amendment American Bankers Association application authority bank Bankers Barkley bill bondholders bonds BUTTENWIESER CANRIGHT centum CHAIRMAN Chase National Bank clause collateral Commission deems Commissioner DOUGLAS committee print conflicting interest corporate trustees court creditor debenture director duties enforcement Exchange Commission exempt fact Federal Federal Reserve System Fidelity Trust Co filed inden indenture security holders indenture trustee institutional trustee interest or participation interests of investors investment issuer legislation liability loans mortgage necessary or appropriate negative pledge negligence obligations obligor paragraph paying agent payment permitted person POSNER prescribe prior to default prospective trustee protection of investors public interest reasonable reorganization Report respect responsible Securities Act Securities and Exchange securities issued Senator BARKLEY Senator HUGHES Senator TOWNSEND situation statement subsection substitution term thereof thereunder tion trust companies trust indenture trustee's trusteeship underwriter UNTERMYER voting securities
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74 페이지 - Act of 1933. (b) The Treasury Department, the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Reserve Banks, and the Federal Deposit Insurance Corporation...
194 페이지 - System, notwithstanding that such rule or regulation may, after such act or omission, be amended or rescinded or be determined by judicial or other authority to be invalid for any reason.
14 페이지 - Commission under authority thereof, or any person who willfully, in a registration statement filed under this title, makes any untrue statement of a material fact or omits to state any material fact required to be stated therein or necessary to make the statements therein not misleading, shall upon conviction be fined not more than $10,000 or imprisoned not more than five years, or both.
192 페이지 - Such information, in such detail, as to the issuer and any person directly or indirectly controlling or controlled by, or under direct or indirect common control with...
13 페이지 - Commission deems relevant or material to the inquiry. Such attendance of witnesses and the production of any such records may be required from any place in the United States or any State at any designated place of hearing.
5 페이지 - The Information contained In or filed with any registration statement shall be made available to the public under such regulations as the Commission may prescribe...
185 페이지 - ... shall not be deemed to have taken place unless it is accompanied by a United States postal money order or a certified bank check or cash for the amount of the fee required under subsection (b).
183 페이지 - underwriter" means any person who has purchased from an issuer with a view to, or offers or sells for an issuer 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...
186 페이지 - If it appears to the Commission at any time that the registration statement includes any untrue statement of a material fact or omits to state any material fact required to be stated therein or necessary to make the statements therein not misleading...
15 페이지 - If any provision of this Act or the application of such provision to any person or circumstance shall be held invalid, the remainder of the Act and the application of such provision to persons or circumstances other than those as to which it is held invalid shall not be affected thereby.