Provisions of Federal Laws Relating to the Securities Act of 1933 as Amended

Front Cover
U.S. Government Printing Office, 1936 - Securities - 5 pages
 

What people are saying - Write a review

We haven't found any reviews in the usual places.

Other editions - View all

Common terms and phrases

Popular passages

Page 6 - ... and may require or permit any person to file with it a statement in writing, under oath or otherwise as the Commission shall determine, as to all the facts and circumstances concerning the matter to be investigated.
Page 7 - ... and until, and then only to the extent that, upon application by the carrier, and after investigation by the Commission of the purposes and uses of the proposed issue and the proceeds thereof, or of the proposed assumption of obligation or liability in respect of the securities of any other...
Page 6 - ... suburban, or interurban electric railway which is not operated as a part of a general railroad system of transportation...
Page 9 - Act of 1933, as amended, shall file with the Commission, in accordance with such rules and regulations as the Commission may prescribe as necessary or appropriate in the public interest or for the protection of investors, such supplementary and periodic information, documents, and reports as may be required...
Page 3 - ... as to securities constituting the whole or a part of an unsold allotment to or subscription by such dealer as a participant in a distribution of such securities by the issuer or by or through an underwriter otherwise than pursuant to the plan.
Page 5 - Commission may, in its discretion, make such investigations as it deems necessary to determine whether any person has violated or is about to violate...
Page 6 - ... in the prescribing of rules and regulations thereunder, or in securing information to serve as a basis for recommending further legislation concerning the matters to which this title relates.
Page 3 - Judge, upon such terms and conditions and with such security and priority in payment over existing obligations, secured or unsecured, as In the particular case may be equitable...
Page 6 - ... any person who willfully and knowingly makes, or causes to be made, any statement in any application, report, or document required to be filed under this title 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...
Page 2 - Commission may specify by rules and regulations or order, and (C) transactions as to securities constituting the whole or a part of an unsold allotment to or subscription by such dealer as a participant in the distribution of such securities by the issuer or by or through an underwriter.

Bibliographic information