Decisions and Reports, 42. sējumsU.S. Government Printing Office, 1972 |
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Act and Rules Act of 1934-Sections Aetna Air America Alabama Power Allegheny amount applicant assets Association of Securities basis Boruski broker-dealer registration capital cash Commissioners WOODSIDE common stock consolidated Corporation customers debentures December 31 directors dividends Division of Trading earnings exemption false and misleading filed funds Hanna Diversified hearing examiner investment adviser investment company investors issued issuer June 30 mark-ups ment Merged Company mutual fund NASD NASD's offer and sale offering circular officers operations payment percent period preferred stock president pro se proceedings proposed provisions of Section public interest public offering purchase pursuant to Section record regis registered securities registrant's registration statement Regulation respect respondents revocation Rule 17 CFR salesmen Section 15 Section 17 Securities Act securities business Securities Dealers Securities Exchange Act shares sold stockholders subsidiary suspension thereunder tion transactions underwriter violated Section West Penn willfully violated WKDA
Populāri fragmenti
139. lappuse - ... per centum or more of whose outstanding voting securities are directly or indirectly owned, controlled, or held with power to vote, by such other person; (C) any person directly or indirectly controlling, controlled by, or under common control with, such other person...
168. lappuse - In addition to the information expressly required to be included in a statement or report, there shall be added such further material information, if any, as may be necessary to make the required statements, in the light of the circumstances under which they are made, not misleading.
339. lappuse - ... in the business of issuing face-amount certificates of the installment type, or has been engaged in such business and has any such certificate outstanding; or (3) is engaged or proposes to engage in the business of investing, reinvesting, owning, holding, or trading in securities...
35. lappuse - ... (2) Any issuer which the Commission, upon application by such issuer, finds and by order declares to be primarily engaged in a business or businesses other than that of investing, reinvesting, owningj holding, or trading in securities either directly or (A) through majority-owned subsidiaries or (B) through controlled companies conducting similar types of businesses.
343. lappuse - To require by order, after notice and opportunity for hearing, that each registered holding company, and each subsidiary company thereof, shall take such action as the Commission shall find necessary to limit the operations of the holding-company system of which such company is a part to a single integrated public-utility system...
429. lappuse - ... necessary or appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policy and provisions of this title.
724. lappuse - For any person, firm, corporation, association, business trust, or other similar organization, engaged in the business of issuing, underwriting, selling, or distributing, at wholesale or retail, or through syndicate participation, stocks, bonds, debentures, notes, or other securities, to engage at the same time to any extent whatever in the business of receiving deposits...
297. lappuse - In recommending to a customer the purchase, sale or exchange of any security, a member shall have reasonable grounds for believing that the recommendation is suitable for such customer upon the basis of the facts, if any, disclosed by such customer as to his other security holdings and as to his financial situation and needs.
288. lappuse - ... to offer for sale, sell, or deliver after sale, in connection with a public offering, any such voting-trust certificate.
789. lappuse - A member, in the conduct of his business, shall observe high standards of commercial honor and just and equitable principles of trade.