Securities Acts Amendments, 1959: Hearings Before a Subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Eighty-sixth Congress, First Session, on Securities and Exchange Commission MattersU.S. Government Printing Office, 1960 - 426 lappuses Reviews scope, composition and recent activities of SEC, together with legislative changes contemplated in H.R. 5001, to amend Securities Act of 1933, H.R. 2480, to amend Securities Exchange Act of 1934, H.R. 5002, to amend Trust Indenture Act of 1939, H.R. 2481, to amend Investment Company Act of 1940, and H.R. 2482, to amend Investment Advisers Act of 1940. |
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85th Congress affiliated person Alleghany Alleghany Corp application for registration assets association authority Bank bill broker or dealer broker-dealer brokers and dealers Chairman Commission's committee common stock Congress corporate court DINGELL directors DOLLINGER effective date Exchange Commission exemption filed funds GADSBY GRAY hearing HEMPHILL Interstate Commerce Interstate Commerce Act Interstate Commerce Commission Investment Advisers Act Investment Company Act investment counsel issued issuer jurisdiction legislation loans MACK MCCORMICK national securities exchange offering pany paragraph participations percent preferred stock Present law.-Section proceeding proposed amendment protection of investors provisions public interest purchase pursuant question railroad registration statement respect rule or regulation rules and regulations section 15 section 8(b Securities Act Securities and Exchange Securities Exchange Act Senate statute Stock Exchange stockholders subcommittee suspend tion trading transactions United States Code unlawful violation WALLACE withdrawal York Stock Exchange
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165. lappuse - Commission may, in its discretion, make such investigations as it deems necessary to determine whether any person has violated or is about to violate...
102. lappuse - ... by means of a prospectus or oral communication, which includes an untrue statement of a material fact or omits to state a material fact necessary in order to make the statements, in the light of the circumstances under which they were made, not misleading...
280. 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.
149. lappuse - ... shall be liable to the person purchasing such security from him, who may sue either at law or in equity in any court of competent jurisdiction, to recover the consideration paid for such security with interest thereon, less the amount of any income received thereon, upon the tender of such security, or for damages if he no longer owns the security.
173. lappuse - The Commission may transmit such evidence as may be available concerning such acts or practices to the Attorney General who may, in his discretion, institute the necessary criminal proceedings under this title.
92. lappuse - No broker or dealer shall make use of the mails or of any means or Instrumentality of interstate commerce to effect any transaction in. or to induce the purchase or sale of, any security (other than commercial paper, bankers...
109. lappuse - ... or any rule or regulation thereunder or any undertaking contained in a registration statement as provided in subsection (d) of Section 15 of this title, which statement was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact...
150. lappuse - ... or wherever the defendant may be found. Judgments and decrees so rendered shall be subject to review as provided in sections 128 and 240 of the Judicial Code, as amended (USC, title 28, sees.
134. lappuse - Government securities; and (B) Not more than 25 percent of the value of It8 total assets Is represented by securities (other than those includible under subparagraph (A) ) for purposes of this calculation limited In respect of any one Issuer to an amount not greater in value than 5 percent of the value of the total assets of the trust and to not more than 10 percent of the outstanding voting securities of such Issuer.
418. lappuse - Cir. 1938), he wrote that, in order to aid and abet another to commit a crime, it is necessary that a defendant "in some sort associate himself with the venture, that he participate in it as in something that he wishes to bring about, that he seek by his action to make it succeed.