Securities Acts Amendments, 1959: Hearings Before a Subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Eighty-sixth Congress, First Session, on Securities and Exchange Commission Matters

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Reviews scope, composition and recent activities of SEC, together with legislative changes contemplated in H.R. 5001, to amend Securities Act of 1933, H.R. 2480, to amend Securities Exchange Act of 1934, H.R. 5002, to amend Trust Indenture Act of 1939, H.R. 2481, to amend Investment Company Act of 1940, and H.R. 2482, to amend Investment Advisers Act of 1940.
 

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Page 102 - ... by means of a prospectus or oral communication, which includes an untrue statement of a material fact or omits to state a material fact necessary in order to make the statements, in the light of the circumstances under which they were made, not misleading...
Page 278 - ... 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.
Page 146 - 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...
Page 171 - The Commission may transmit such evidence as may be available concerning such acts or practices to the Attorney General who may, in his discretion, institute the necessary criminal proceedings under this title.
Page 406 - ... is engaged or proposes to engage in the business of investing, reinvesting, owning, holding, or trading in securities...
Page 148 - ... or wherever the defendant may be found. Judgments and decrees so rendered shall be subject to review as provided in sections 128 and 240 of the Judicial Code, as amended (USC, title 28, sees.
Page 132 - Government securities; and (B) Not more than 25 percent of the value of It8 total assets Is represented by securities (other than those includible under subparagraph (A) ) for purposes of this calculation limited In respect of any one Issuer to an amount not greater in value than 5 percent of the value of the total assets of the trust and to not more than 10 percent of the outstanding voting securities of such Issuer.
Page 92 - 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...
Page 168 - ... (2) any person who, by reason of any misconduct, is permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from acting as an...
Page 60 - ... acceptances, or commercial bills) in contravention of such rules and regulations as the Commission shall prescribe as necessary or appropriate in the public interest or for the protection of investors to provide safeguards with respect to the financial responsibility and related practices of brokers and dealers including, but not limited to, the acceptance of custody and use of customers' securities, and the carrying and use of customers

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