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action additional affiliated amendment amount application appropriate assets authority bank believe bill broker capital certificate Chairman Commission committee contained corporation court dealer determine directors effective engaged exemption existing fact Federal filed finds follows funds hearing holders holding company indenture industry institution investment adviser investment company Investment Company Act issued issuer jurisdiction legislation liability limited Loan Association matter means ment necessary notice objection offering officers operation paragraph payment period permit person practice prescribe present principal proceeding prohibit proposed provisions public interest purchase pursuant question reason record registration statement regulation representatives reserve respect rules rules and regulations Savings & Loan savings and loan Securities Act Securities Exchange sell Senator WILLIAMS specific statute subsection term thereof tion trading transactions trustee underwriter United unless violation withdrawal
Halaman 412 - ... security," or any certificate of interest or participation in, temporary or interim certificate for, receipt for, guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing.
Halaman 499 - security' means any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas or other mineral rights or, in general, any interest or instrument commonly known as a 'security', or any certificate...
Halaman 303 - Commission under this title may obtain a review of such order in the circuit court of appeals of the United States within any circuit wherein such person resides or has his principal place of business, or in the United States Court of Appeals for the District of Columbia, by filing in such court, within sixty days after the entry of such order, a written petition praying that the order of the Commission be modified or set aside in whole or in part.
Halaman 302 - Commission, there to produce records, if so ordered, or to give testimony touching the matter under investigation or in question; and any failure to obey such order of the court may be punished by such court as a contempt thereof.
Halaman 249 - Commission, on the ground that the testimony or evidence, documentary or otherwise, required of him, may tend to incriminate him or subject him to a penalty or forfeiture; but no individual shall be prosecuted or subjected to any penalty or forfeiture for or on account of any transaction, matter, or thing concerning which he is compelled, after having claimed his privilege against selfincrimination...
Halaman 232 - If either party shall apply to the court for leave to adduce additional evidence and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for...
Halaman 354 - Unless a registration statement is in effect as to a security, it shall be unlawful for any person directly or indirectly (1) to make use of any means or instruments of transportation or communication in interstate commerce or of the mails...
Halaman 303 - The judgment and decree of the court shall be final, subject to review by the Supreme Court of the United States upon certiorari or certification as provided in sections 239 and 240 of the Judicial Code, as amended (USC, title 28, sees. 346 and 347).
Halaman 237 - Underwriter" means any person who has purchased from an issuer with a view to, or sells for an issuer in connection with, the distribution of any security, or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in the direct or indirect underwriting of any such undertaking; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary distributors...