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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Acceptable Responses advisory fee Agreement amended American Stock Exchange Bank Board of Directors borrow Broker broker-dealers BUDGE capital cash cent certificate Chairman closed-end Company Act Release CONGRESS THE LIBRARY contract Custodian disclosure effect employees equity securities Exchange Commission exemption filed firms Form S-5 industry insurance company Internal Revenue Code Investment Company Act investment policy investors issue issuer LIBRARY OF CONGRES LIBRARY OF CONGRESS mutual fund national securities exchange net asset value NYSE officers open-end company payment percent percentage persons prospectus purchase purpose pursuant Registrant's assets registration statement request or invitation respect response to Item restricted securities Schedule 13D section 22(d Securities Act Securities and Exchange securities and similar security holders Senator BENNETT Senator MCINTYRE Senator WILLIAMS senior securities separate account shareholder shares short sales similar investments staff tender offer tion trading transactions underwriter value of Registrant's voting securities York Stock Exchange
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Página 34 - 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 102 - 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 1 - 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 10 - ... (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 33 - Analytically, the obligation rests on two principal elements; first, the existence of a relationship giving access, directly or indirectly, to information intended to be available only for a corporate purpose and not for the personal benefit of anyone, and second, the inherent unfairness involved where a party takes advantage of such information knowing it is unavailable to those with whom he is dealing.
Página 8 - ... per centum of such class, unless, at the time copies of the offer or request or invitation are first published or sent or given to security holders, such person has filed with the Commission a statement containing the information and exhibits required by...
Página 10 - Schedule 13D, or by any person on his behalf, to make solicitations or recommendations to security holders and describe briefly the terms of such employment, retainer or arrangement for compensation. Item 8. Material To Be Filed as Exhibits Copies of all requests or invitations...
Página 6 - ... 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 27 - ... 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 31 - 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...