Problems in the Securities Industry: Hearing Before the Subcommittee on Securities of the Committee on Banking and Currency, Ninety-first Congress, First Session, to Ascertain the Views of Hamer H. Budge, Chairman of the Securities and Exchange Commission, on Problems in the Securities Industry, March 6, 1969U.S. Government Printing Office, 1969 - 138 páginas |
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Términos y frases comunes
Acceptable Responses acquisition agreement amended American Stock Exchange amount applicable Bank Board of Directors Broker broker-dealers BUDGE capital cash cent certificate Chairman closed-end Company Act Release contract Corporate Regulation Custodian disclosed disclosure effect employees equity securities Exchange Commission exemption filed firms Form S-5 furnished HAMER H industry institutional insurance company Investment Company Act investment policy investors invitation for tenders issued issuer market makers million mutual fund national securities exchange net asset value NYSE officers open-end company over-the-counter percent person portfolio problems prospectus purchase purpose pursuant regional exchanges registration statements request or invitation respect restricted securities Schedule 13D Section 13 section 22(d Securities Act Securities and Exchange securities and similar Securities Exchange Act security holders Senator BENNETT Senator MCINTYRE Senator WILLIAMS senior securities separate account shareholders shares short sales similar investments staff tender offer tion trading transactions underwriter York Stock Exchange
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Página 103 - President of , the corporation described in and which executed the foregoing instrument; that he knows the seal of said corporation; that the seal affixed to said instrument is such corporate seal; that it was so affixed by order of the Board of Directors of said Corporation and that he signed his name thereto by like order.
Página 37 - I shall not today attempt further to define the kinds of material I understand to be embraced within that shorthand description, and perhaps I could never succeed in intelligibly doing so. But I know it when I see it, and the motion picture involved in this case is not that.
Página 2 - Act of 1933 and the Trust Indenture Act of 1939, and certain filings under the Securities Exchange Act of 1934 and the Investment Company Act of 1940...
Página 11 - ... (B) the source and amount of the funds or other consideration used or to be used in making the purchases, and if any part of the purchase price or proposed purchase price is represented or is to be represented by funds or other consideration borrowed or otherwise obtained for the purpose of acquiring, holding, or trading...
Página 10 - ... (4) Any solicitation or recommendation to the holders of such a security to accept or reject...
Página 7 - ... security which are beneficially owned, and the number of shares concerning which^ there is a right to acquire, directly or indirectly, by (i) such person, and...
Página 30 - ... 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.
Página 12 - Signature I certify that to the best of my knowledge and belief the information set forth in this statement is true, complete and correct. Date Signature...
Página 34 - In the case of a plan included in subsection (a) (1), (2), or (3), which provides contributions or benefits for employees some or all of whom are employees within the meaning of section 401(c)(l...
Página 11 - ... guarantees against loss or guarantees of profits, division of losses or profits, or the giving or withholding of proxies.