Amending Securities Act of 1933, Securities Exchange Act of 1934, Trust Indenture Act of 1939, and Investment Company Act of 1940 ... Hearing on H.R. 7550 and S. 2846 ... March 19, 19541954 - 158 lappuses |
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1939 is amended Administrative Procedure Act adopted amends section American Stock Exchange become effective BENNETT bill bill amends BOREN broker-dealer brokers capital CHAIRMAN Commissioner DEMMLER committee competitive bidding Congress contained dealers disclosure distribution effective date Exchange Commission exemption face-amount certificate company filed financing foreign FUNSTON hearing HESELTON identifying statement Investment Bankers Investment Company Act issuer legislation liability MCFARLIN ment Morgan Stanley notification offer to buy offering circular paragraph permit person present law prior problem proposed amendment prospectus protection of investors provisions public interest public offering public sealed bidding public utility question red herring prospectus registration statement respect rules and regulations rules or regulations SCHENKER section 11 section 306 Securities Act Securities and Exchange Securities Exchange Act security issued Senate sold statute thereof tion trading transactions Trust Indenture Act underwriter unit investment trust unlawful waiting period when-issued WOLVERTON York Stock Exchange
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9. lappuse - 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...
81. lappuse - When rules are required by statute to be made on the record after opportunity for an agency hearing, sections 556 and 557 of this title apply instead of this subsection.
81. lappuse - ... (b) Procedures After notice required by this section, the agency shall afford interested persons an opportunity to participate in the rule making through submission of written data, views, or arguments with or without opportunity to present the same orally in any manner...
84. lappuse - Commission for the administration and enforcement of disclosure and related requirements of the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939...
8. lappuse - Any security given or delivered with, or as a bonus on account of, any purchase of securities or any other thing, shall be conclusively presumed to constitute a part of the subject of such purchase and to have been sold for value.
64. lappuse - The Commission may disqualify, and deny, temporarily or permanently, the privilege of appearing or practicing before it in any way to any person who is found by the Commission after hearing in the matter (1) not to possess the requisite qualifications to represent others; or -<2) to be lacking in character or integrity or to have engaged in unethical or Improper professional conduct.
9. lappuse - prospectus" means any prospectus, notice, circular, advertisement, letter, or communication, written or by radio or television, which offers any security for sale or confirms the sale of any security...
50. lappuse - ... of these securities in any State in which such offer, solicitation or sale would be unlawful prior to registration or qualification under the securities laws of any such State.
134. lappuse - ... may be obtained and, in addition, does no more than identify the security, state the price thereof, state by whom orders will be executed, and contain such other information as the Commission, by rules or regulations deemed necessary or appropriate in the public interest and for the protection of investors, and subject to such terms and conditions as may be prescribed therein, may permit. (11) The term "underwriter...
10. lappuse - ... not been filed (if required to be filed as part of the registration statement) or 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, in the light of the circumstances under which such prospectus is or is to be used, not misleading. Upon issuance of an order under this subsection, the...