SEC Legislation, 1963: Hearings Before a Subcommittee of the Committee on Banking and Currency, United States Senate, Eighty-eighth Congress, First Session, on S. 1642, a Bill to Amend the Securities Act of 1933, as Amended, and the Securities Exchange Act of 1934, as Amended, to Extend Disclosure Requirements to the Issuers of Additional Publicly Traded Securities, to Provide for Improved Qualification and Discliplinary Procedures for Registered Brokers and Dealers, and for Other Purposes
U.S. Government Printing Office, 1963 - 470 lappuses
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accounting action additional adequate agencies amendment annual application appropriate assets association authority banks believe bill brokers capital Cary Chairman Commission commissioner committee concerned Congress controls corporations course covered deal dealers directors disclosure effective Exchange Act exemption existing experience extend fact Federal filed firms follows give important industry insider insurance companies investment investors involved issuers issues legislation listed major material meeting ment million NASD offering officers operations over-the-counter market percent period persons practices present principal problems proposed protection provisions proxy question real estate reasons recommended record registration regulation relating representatives requirements respect responsibility result rules securities Securities Act Securities and Exchange Securities Exchange Senator Javits Senator WILLIAMS shareholders shares solicitation special study standards statement Stock Exchange stockholders substantial Thank tion trading transactions York
401. lappuse - Commission shall be final, subject to review by the Supreme Court of the United States upon certiorari or certification as provided in sections 239 and 240 of the Judicial Code, as amended (USC, title 28, sees. 346 and 347).
408. lappuse - If any provision of this Act, or the application of such provision to any . person or circumstance, shall be held invalid, the remainder of this Act, or the application of such provision to persons or circumstances other than those as to which it is held invalid, shall not be affected thereby. SEC. 16. This Act may be cited as the "National Labor Relations Act.
445. lappuse - States within any circuit wherein such person resides or has his principal place of business, or in the United States Court of Appeals for the District of 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.
406. lappuse - It shall be unlawful for any person in the 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 (2) to obtain money or property by means of any untrue statement of a material fact от any omission to state a material fact...
408. lappuse - Commission, on the ground that the testimony or evidence, documentary or otherwise required of him may tend to incriminate him or subject him to a penalty or forfeiture...
393. lappuse - When used in this title, unless the context otherwise requires (1) the term "security" means any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas, or other mineral rights, or, in...
398. lappuse - ... (2) to carry or cause to be carried through the mails or in interstate commerce, by any means or instruments of transportation, any such security for the purpose of sale or for delivery after sale.
407. lappuse - ... 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.
423. lappuse - ... (1) any member appointed to fill a vacancy occurring prior to the expiration of the term for which his predecessor was appointed, shall be appointed for the remainder of such term; and (2) the terms of office of the members first taking office after the date of...