Annual Report of the SEC.U.S. Government Printing Office, 1947 |
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accounts action admitted to unlisted aggregate American amicus curiae amount Annual Report application approved assets broker-dealer certiorari Circuit Court Commission Commission's order common stock Company Act Release corporate Court of Appeals dealers debentures defendants denied dismissed distribution divestment effective ended June 30 exempted Federal filed firm fiscal year ended Gas & Electric Holding Company Act indenture injunction interest investors involved issuers July June 19 June 30 ment NASD national securities exchange North American Co offering pany pending percent petition Power & Light preferred stock proceedings properties proposed provisions Public Service Public Utility Holding registration statement regulation rule Section 11 Securities Act Securities Exchange Act securities registered security holders Sept Southern District Stock Exchange stockholders subsidiaries tion title 18 Total transactions trustee United unlisted trading privileges Utility Holding Company violations York Curb Exchange York Stock Exchange
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25. lappuse - Commission, notwithstanding that such rule or regulation may, after such act or omission, be amended or rescinded or be determined by judicial or other authority to be invalid for any reason.
10. lappuse - If it appears to the Commission at any time that the registration statement 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 not misleading...
97. lappuse - ... is engaged or proposes to engage in the business of investing, reinvesting, owning, holding, or trading in securities, and owns or proposes to acquire investment securities having a value exceeding 40 per centum of the value of such issuer's total assets (exclusive of Government securities and cash items) on an unconsolidated basis. As used in this section, "investment securities...
56. lappuse - Commission, on its own motion, or upon application by any person aggrieved thereby filed within thirty days after such action has been taken or within such longer period as the Commission may determine. Application to the Commission for review, or the institution of review by the Commission on its own motion...
v. lappuse - A monthly summary of security transactions and holdings reported under the provisions of the Securities Exchange Act of 1934, the Public Utility HoldIng Company Act of 1935, and the Investment Company Act of 1940 by officers, directors, and certain other persons.
174. lappuse - Research Bulletins issued by the Committee on Accounting Procedure of the American Institute of Accountants.
xii. lappuse - Commission is responsible for the administration and enforcement 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, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.
42. lappuse - System, and it also would exempt such securities from certain provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934. The...
52. lappuse - However, the performance of the functions of manager of a distributing group and the receipt of a bona fide payment for performing such functions shall not...
64. lappuse - Congressman .Mess, et al., filed a petition for rehearing. On September 8, 1972, the Commission denied all petitions for rehearing, whereupon, Congressman Moss, et al., filed a petition for review in the United States Court of Appeals for the District of Columbia Circuit.