Prevention of Fraud in the Promotion Or Sale of Securities: Hearings Before the Subcommittee on Insurance and Banks on S. 1332 and 3491...Jan. 16 and 20, 1931

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Seite 11 - 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. SEC. 16. This Act may be cited as the "National Labor Relations Act.
Seite 6 - By or for the account of a pledge holder or mortgagee selling or offering for sale or delivery in the ordinary course of business and not for the purpose of avoiding the provisions of this act.
Seite 6 - Whoever, having devised or intending to devise any scheme or artifice to defraud, or for obtaining money or property by means of false or fraudulent pretenses, representations, or promises...
Seite 6 - ... nothing in this Act contained shall in any way abridge or alter the remedies now existing at common law or by statute, but the provisions of this Act are in addition to such remedies...
Seite 6 - ... punished or subjected to any penalty or forfeiture for or on account of any act, transaction, matter or thing concerning which he shall...
Seite 6 - Any security exchanged by the issuer with its existing security holders exclusively where no commission or other remuneration is paid or given directly or indirectly for soliciting such exchange...
Seite 6 - ... (2) Any security issued or guaranteed by the United States or any Territory thereof, or by the District of Columbia, or by any State of the United States, or by any political subdivision of a State or Territory, or by any public instrumentality of one or more States or Territories...
Seite 6 - ... of any of the provisions of this Act, upon the ground or for the reason that the testimony or evidence, documentary or otherwise, required of him, may tend to incriminate or degrade him; but no person shall be prosecuted or subjected to any penalty or forfeiture for or on account of any transaction, matter or thing...
Seite 6 - ... and it shall be the duty of the justice of the supreme court to whom such application for the order is made to grant such application.
Seite 7 - ... shall have access to and may compel the production of all the books and papers of such issuer, and may administer oaths to and examine the officers of such issuer or any other person connected therewith as to its business and affairs and may also require a b-ilance sheet exhibiting the assets and liabilities of any such issuer or his income statement, or both, to be certified to...

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