Proposed Amendments to the Securities Act of 1933 and to the Securities Exchange Act of 1934, 1. sējumsU.S. Government Printing Office, 1942 |
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24 hours Association banking become effective believe bonds BOREN brokers BROWN buyers capital CHAIRMAN changes Clarence F Commis Commissioner PURCELL committee print Congress corporations cost course customers dealers discuss distribution document effective date Exchange Commission fact filed financing firm fraud give HILLIARD Holding Company interest investment banker investors issue of securities issuer JONES liability limited prospectus Loeb & Co mails manipulation matter ment operation PADDOCK percent permit person possible practice prior problem procedure prohibition proposed section protection provisions purchaser PUTNEY question refer registration statement regulations REIS representatives respect rules Securities Act Securities and Exchange securities business Securities Exchange Act Securities Exchange Commission securities industry sent or given short selling sion sold SOUTH statute STEWART tion trading transactions underwriters violation WADSWORTH waiting period WOLVERTON York Curb Exchange York Stock Exchange YOUNGDAHL
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307. lappuse - ... did not know, and in the exercise of reasonable care could not have known, of such untruth or omission...
41. lappuse - The purpose is to refresh the public's recollection and to show why the Securities act of 1933, the Securities and Exchange act of 1934 and the Public Utility Holding Company act of 1935 were necessary and why attempts to eliminate them or modify their essential provisions should be vigorously opposed.
68. lappuse - ... (2) To effect, alone or with one or more other persons, a series of transactions in any security registered on a national securities exchange creating actual or apparent active trading in such security or raising or depressing the price of such security, for the purpose of inducing the purchase or sale of such security by others.
183. lappuse - ... (2) to carry or cause to be carried through the mails or in interstate commerce any such security for the purpose of sale or for delivery after sale, unless accompanied or preceded by a prospectus that meets the requirements of subsection (a) of section 10.
61. lappuse - Nos. 7 to 13, inclusive, relate to the Interstate Commerce Commission, the Federal Trade Commission, the Federal Power Commission, the Securities and Exchange Commission, the Federal Communications Commission, the National Labor Relations Board, and the Civil Aeronautics Board.
27. lappuse - The Banking and Currency Committee of the Senate in the course of its investigations came to the considered conclusion that the evils inherent in the American financial practice of the times were enormously aggravated by the speculative and manipulative trading which daily took place on the floors of both the New York Stock Exchange and the New York Curb Exchange; yet neither exchange took steps in anywise calculated to curtail this widespread abuse of the 'free and unrestricted market' which they...
59. lappuse - (f) No provision in this part shall apply to, or be deemed to include, the United States, a state or any political subdivision of a state, or any agency, authority, or instrumentality of any one or more of the foregoing, or any corporation which is wholly owned, directly or indirectly, by any one or more of the foregoing, or any officer, agent...
237. lappuse - A, and when relating to a security issued by a foreign government, or political subdivision thereof, shall contain the information, and be accompanied by the documents, specified in Schedule B...
241. lappuse - Commission may prescribe, setting forth the information, and accompanied by the documents, below specified: (1) Such data as to its organization, membership, and rules of procedure, and such other information as the Commission may by rules and regulations require as necessary or appropriate in the public interest or for the protection of investors...
315. lappuse - ... written by authority of the person whose signature is so affixed and the burden of proof, in the event such authority shall be denied, shall be upon the party denying the same. The affixing of any signature without the authority of the purported signer shall constitute a violation of this title. A registration statement shall be deemed effective only as to the securities specified therein as proposed to be offered.