R. A. HOLMAN & CO. v. SECURITIES AND EXCHANGE COMMISSION

No. 16464.

299 F.2d 127 (1962)

R. A. HOLMAN & CO., Inc., Appellant, v. SECURITIES AND EXCHANGE COMMISSION et al., Appellees.

United States Court of Appeals District of Columbia Circuit.

Decided January 18, 1962.


Attorney(s) appearing for the Case

Mr. Milton V. Freeman, Washington, D. C., with whom Mr. Stuart J. Land, Washington, D. C., was on the brief, for appellant. Mr. Edgar Brenner, Washington, D. C., also entered an appearance for appellant.

Mr. David Ferber, Asst. General Counsel, Securities and Exchange Commission, with whom Mr. John A. Dudley, Attorney, Securities and Exchange Commission, was on the brief, for appellees.

Before PRETTYMAN, WASHINGTON and BURGER, Circuit Judges.


WASHINGTON, Circuit Judge.

This litigation challenges the validity of action taken by the Securities and Exchange Commission against the appellant company, a registered broker-dealer in securities, which has specialized in underwriting securities pursuant to Regulation A of the Commission. Under Regulation A, speaking generally, public offerings of $300,000 or less are exempt from the principal registration requirements of the Federal securities legislation.

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