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" Commission with respect to registration, any statement which 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... "
Compilation of Securities Laws Within the Jurisdiction of the Committee on ... - Página 108
por United States, United States. Congress. House. Committee on Energy and Commerce - 1993 - 639 páginas
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Investment Company Act Amendments of 1967: Bank and Insurance Company ...

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1968 - 192 páginas
...willfully made or caused to be made in any application for registration or report filed with the Commission under this title, or in any proceeding before the...or misleading with respect to any material fact, or who has omitted to state in any such application or report any material fact which is required to be...
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Hearings, Reports and Prints of the House Committee on Interstate and ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1968 - 1288 páginas
...willfully made or caused to be made in any application for registration or report filed with the Commission under this title, or in any proceeding before the...or misleading with respect to any material fact, or who has omitted to state in any such application or report any material fact which is required to be...
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Investment Company Act Amendments of 1967: Hearings, Ninetieth Congress ...

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1968 - 898 páginas
...for registration or report filed with the Commission under this title, or in any proceeding l>efore the Commission with respect to registration, any statement...circumstances under which it was made false or misleading with resjiect to any material fact, or who has omitted to state in any such application or report any material...
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Investment Company Amendments Act of 1969: Hearings Before the Committee on ...

United States. Congress. Senate. Committee on Banking and Currency - 1969 - 514 páginas
...this title, or in any preceding before 6 the Commission with respect to registration, any state7 ment which was at the time and in the light of the circumstances...or misleading with respect to any material fact, or who has omitted to state in any such application or report any material fact which is required to be...
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High Interest Rates, Hearings Before ..., 91-1 ..., March 25 and 26, and ...

United States. Congress. Senate. Committee on Banking and Currency - 1969 - 142 páginas
...made in any registration statement, application or report filed with the Commission under this title any statement which was at the time and in the light...circumstances under which it was made false or misleading with restpect to any material fact, or has omitted to state in any such registration statement, application,...
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Mutual Fund Amendments: Hearings Before the Subcommittee on ..., Parte 2

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1970 - 1004 páginas
...willfully made or caused to be made hi any application for registration or report filed with the Commission under this title, or in any proceeding before the...or misleading with respect to any material fact, or who has omitted 54 1 to state in any such application or report any material 2 fact which is required...
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Laws Relating to Securities Commission, Exchanges and Holding Companies

United States - 1976 - 476 páginas
...caused to be made in any application for registration or report required to be filed with the Commission under this title, or in any proceeding before the...material fact which is required to be stated therein. "(2) has been convicted within ten years preceding the filing of any application for registration or...
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Investment Advisers Act of 1940, as in Effect July 1, 1974

United States. Securities and Exchange Commission - 1974 - 36 páginas
...Public Law 91-547, lec. 24 (c), 84 Stat. 1481. Sec. 20S(e)(l) SECURITIES AND EXCHANGE COMMISSION merit which was at the time and in the light of the circumstances...or misleading with respect to any material fact, or who has omitted to state in any such application or report any material fact which is required to be...
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Legal Fees: Hearings Before the Subcommittee on Representation of Citizen ...

United States. Congress. Senate. Committee on the Judiciary, United States. Congress. Senate. Judiciary Committee - 1974 - 1072 páginas
...registration statement as provided in subsection (d) of section 78o of this title, which statement was at the time and in the light of the circumstances...it was made false or misleading with respect to any material fact, shall lu» liable to any i>erson (not knowing that such statement was false or misleading)...
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Securities Acts Amendments of 1975: Hearings Before the Subcommittee on ...

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities - 1975 - 790 páginas
...clearing agoten, 'ir in any proceeding before, the registered clearing agency, any statement tchich wax at the time and in the light of the circumstances...respect to any material fact, or has omitted to state in ani/ «neh application or report any material fact ichichis required to be stateti therein." In addition...
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