Hearings, Reports and Prints of the Senate Committee on Banking, Housing and Urban AffairsU.S. Government Printing Office, 1972 |
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Advancement Devices alleged answer asked attorney believe BIEMILLER Bill Casey Boggs BROCK Bucher BURKETT Business Planning California Casey Casey's CHAIRMAN Cold Cathode copy counsel COURT Cuddahy defendant director DISKIN DONNELLY Doundoulakis employee Exchange Commission fact February 9 Federal Reserve Federal Reserve Board Fields filed firm GARFIELD going GRAYSON hearing Honor industry Institute for Business interest investment investors John Sparkman Judge CRAVEN jury Kalvar Corporation KLEPPE letter loan manuscript material matter McCall ment offering Pay Board Pay Plans percent plaintiff Plaintiff's Exhibit Prentice-Hall President Price Commission purchase question record registrant Roosevelt Raceway Securities and Exchange Senator BENNETT Senator BROOKE Senator PROXMIRE Senator TOWER shareholders shares SHEEHAN Sparkman statement stockholders thing Thornton tion transaction U.S. Senate verdict wash sales Washington William WILLIAM PROXMIRE York
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Halaman 624 - ... under common control with, the person specified. (b) Control. The term "control" (including the terms "controlling", "controlled by" and "under common control with") means the possession, direct or indirect, of the power to direct or cause the direction of the management and policies of a person, whether through the ownership of voting securities, by contract...
Halaman 429 - ... any partner, officer, director, or branch manager of such broker or dealer (or any person occupying a similar status or performing similar functions), or any person directly or indirectly controlling or controlled by such broker or dealer...
Halaman 430 - It shall be unlawful for any person, directly or indirectly, by the use of the mails or any means or instrumentality of interstate commerce, or of any facility of any national securities exchange, or for any member of a national securities exchange — (1) For the purpose of creating a false or misleading appearance of active trading...
Halaman 431 - 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...
Halaman 8 - ... need for better community services and job opportunities) which are associated with disorderly urbanization and rural decline; 5.
Halaman 430 - ... security with the knowledge that an order or orders of substantially the same size, at substantially the same time, and at substantially the same price, for the purchase of such security, has been or will be entered by or for the same or different parties.
Halaman 679 - Magnuson, their agents, servants, employees, attorneys, and all persons in active concert or participation with any of them who receive actual notice of this order by personal service or otherwise, be and they hereby are restrained and enjoined pending the determination of this action, from holding the annual shareholders...
Halaman 29 - Board, not more than one of whom shall be selected from any one Federal reserve district, the President shall have due regard to a fair representation of the financial, agricultural, industrial and commercial interests, and geographical divisions of the country.
Halaman 431 - ... acceptances, or commercial bills) otherwise than on a national securities exchange, by means of any manipulative, deceptive, or other fraudulent device or contrivance. The Commission shall, for the purposes of this subsection, by rules and regulations define such devices or contrivances as are manipulative, deceptive, or otherwise fraudulent.
Halaman 304 - Q. What did he say to you and what did you say to him?