Proposed Amendments to the Securities Act of 1933 and to the Securities Exchange Act of 1934, 4. sējums
U.S. Government Printing Office, 1942
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activity additional adopted amendment application Association authority bank believe Board broker brokers and dealers burden capital CHAIRMAN Commission Commissioner PURCELL committee companies concerned Congress consideration contracts corporations course Curb Exchange customers dealers desirable directors effect Exchange Commission extension fact Federal Federal Reserve Board filed firm functions give Holding important increase industry interest investment investors issues limited listed loan manufacturer margin material matter McGRANERY meeting officers over-the-counter particular percent persons practice present privileges problem proposed proposed amendment provisions proxy purchase question reason record referred registered regulations relating representatives requirements respect result rules sections 14 Securities and Exchange Securities Exchange Act segregation sell shares solicitation specialist statement stockholders suggested tion transactions unlisted trading WADSWORTH York Curb York Stock Exchange
1122. lappuse - ... dates of and parties to, and the general effect concisely stated of every material contract made, not in the ordinary course of business, which contract is to be executed in whole or in part at or after the filing of the registration statement or which contract has been made not more than two years before such filing.
1256. lappuse - Many forms of conduct permissible in a workaday world for those acting at arm's length, are forbidden to those bound by fiduciary ties. A trustee is held to something stricter than the morals of the market place. Not honesty alone, but the punctilio of an honor the most sensitive, is then the standard of behavior.
1160. lappuse - Every person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of any equity security (other than an exempted security) which is registered on a national securities exchange, or who is a director or an officer of the issuer of such security...
1160. lappuse - Commission) of the amount of all equity securities of such issuer of which he is the beneficial owner, and within ten days after the close of each calendar month thereafter, if there has been...
1294. lappuse - Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.
1042. lappuse - System, and (B) to permit the extension or maintenance of credit in cases where the extension or maintenance of credit is not for the purpose of purchasing or carrying securities or of evading or circumventing the provisions of paragraph (1) of this subsection.
1047. lappuse - The main purpose is to give a Government credit agency an effective method of reducing the aggregate amount of the nation's credit resources which can be directed by speculation into the stock market and out of other more desirable uses of commerce and industry to prevent a recurrence of the pre-crash situation where funds which would otherwise have been available at normal interest rates for uses of local commerce, industry, and agriculture, were drained by far higher rates into security loans...
1128. lappuse - ... to the navigation of said waters, and to prevent the erection of obstructions and nuisances in the said waters. II.
1093. lappuse - The maintenance of a fair and orderly market implies the maintenance of price continuity with reasonable depth, and the minimizing of the effects of temporary disparity between supply and demand.