SEC Legislation: Hearings Before a Subcommittee of the Committee on Banking and Currency, United States Senate, Eighty-sixth Congress, First Session, on S. 1178 [and Other] Bills to Amend the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940 ...
U.S. Government Printing Office, 1959 - Stock exchanges - 640 pages
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action addition affiliated Alleghany amendment amount appear application appropriate approval assets association authority bank believe bill broker carrier certificate Commission committee common stock connection contained corporation court dealer determine directors effective engaged Exchange Act exemption fact filed finds follows give hearing holders holding indenture Interstate Commerce investment adviser Investment Company Act investors issued issuer jurisdiction liability limited matter means ment necessary notice objection offering officers outstanding paragraph percent period permit person practice preferred preferred stock prescribe present principal proceeding prohibit proposed protection of investors provisions public interest purchase pursuant question reason record registration statement regulation representatives respect rules rules and regulations Securities Act Securities Exchange Senator WILLIAMs shares specific statute suggested thereof tion trading transactions trustee underwriter United unless violation withdrawal York
Page 505 - Commission 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. (b) The commencement of proceedings under subsection (a) shall not, unless specifically ordered by the court, operate as a stay of the Commission's order.
Page 326 - Commission shall certify and file in the court a transcript of the record upon which the order complained of was entered. Upon the filing of such transcript such court shall have exclusive jurisdiction to affirm, modify, and enforce or set aside such order, in whole or in part.
Page 419 - Security" means any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profitsharing 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...
Page 505 - No objection to the order of the Commission shall be considered by the court unless such objection shall have been urged before the Commission or unless there were reasonable grounds for failure so to do.
Page 326 - Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper. The Commission may modify its findings as to the facts or make new findings, by reason of the additional evidence so taken, and it shall file such modified or new findings, which if supported by substantial evidence shall be conclusive...
Page 259 - ... 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 326 - ... before the Commission, the court may order such additional evidence to be taken before the Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper.
Page 272 - ... no individual shall be prosecuted or subject 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 self-incrimination, to testify or produce evidence, documentary or otherwise, except that such individual so testifying shall not be exempt from prosecution and punishment for perjury committed in so testifying.
Page 272 - 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...