Trust Indentures: Hearings Before a Subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Seventy-sixth Congress, First Session, on H.R. 2191 and H.R. 5220, to Provide for the Regulation of the Sale of Certain Securities in Interstate and Foreign Commerce and Through the Mails, and the Regulation of the Trust Indentures Under which the Same are Issued, and for Other Purposes. April 4, 5, 6, 7, and 11, 1939U.S. Government Printing Office, 1939 - 318 Seiten |
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acting as trustee action AMBERG amendment American Bankers Association application for qualification bankruptcy believe bondholders bonds BOREN borrower BURKE CANRIGHT capital centum certificates Chairman Commissioner EICHER committee conflicting interest contain provisions corporate trustees court debentures deemed denture disclosure duties effect Exchange Act Exchange Commission exemption exercise expense fact Federal Reserve Federal Reserve Board Federal Reserve System filed financing hearings inden indenture provisions indenture security holders indenture trustee investment issuer legislation liability loan mails MAPES ment mortgage National Bank necessary obligations obligor opinion outstanding paragraph paying agent percent person principal amount prior to default proposed prospective trustee protection of investors prudent public interest qualified reason REECE referred registration statement respect REUTER section 315 Securities Act Securities and Exchange securities issued Senate STARKWEATHER subsection thereof thereunder tion trust companies trust indentures trust institutions trusteeships underwriter voting securities York
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Seite 22 - Any person who— (1) offers or sells a security in violation of section 5, or (2) offers or sells a security (whether or not exempted by the provisions of section 3, other than paragraph (2) of subsection (a) thereof), by the use of any means or instruments of transportation or communication in interstate commerce or of the mails...
Seite 34 - No provision of this title imposing any liability shall apply to any act done or omitted in good faith in conformity with any rule, regulation or order of the Commission, notwithstanding that such rule, regulation or order may, after such act or omission, be amended or rescinded or be determined by judicial or other authority to be invalid for any reason.
Seite 8 - If it appears to the Commission at any time that the registration statement includes any untrue statement of a material fact or omits to state any material fact required to be stated therein or necessary to make the statements therein not misleading...
Seite 184 - Cong.) of the Interstate and Foreign Commerce Committee of the House of Representatives of the United States of which the Hon.
Seite 18 - Commission under authority thereof, or any person who willfully, in a registration statement filed under this title, makes any untrue statement of a material fact or omits to state any material fact required to be stated therein or necessary to make the statements therein not misleading, shall upon conviction be fined not more than $10,000 or imprisoned not more than five years, or both.
Seite 36 - If any provision of this Act, or the application of such provision to any person or circumstance, shall be held invalid, the remainder of this Act, or the application of such provision to persons or circumstances other than those as to which it is held invalid, shall not be affected thereby.
Seite 18 - ... which statement was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact...
Seite 311 - ... (c) When abuses of the character above enumerated become persistent and wide-spread the holding company becomes an agency which, unless regulated, is injurious to investors, consumers, and the general public; and it is hereby declared to be the policy of this title, in accordance with which policy all the provisions of this title shall be interpreted, to meet the problems and eliminate the evils as enumerated in this section...
Seite 17 - (b) The Treasury Department, the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Reserve Banks, and the Federal Deposit Insurance Corporation...
Seite 20 - underwriter" means any person who has purchased from an issuer with a view to, or offers or sells for an issuer in connection with, the distribution of any security, or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in the direct or indirect underwriting of any such undertaking...