Compilation of Securities Laws Within the Jurisdiction of the Committee on Commerce: Including Securities Act of 1933, Securities Exchange Act of 1934 ..., 4. sējumsU.S. Government Printing Office, 1995 - 657 lappuses |
No grāmatas satura
1.–5. rezultāts no 98.
29. lappuse
... effect nor the a stop order is not in effect with respect thereto shall b a finding by the Commission that registration stateme and accurate on its face or that it does not contain an unt ment of fact or omit to state a material fact ...
... effect nor the a stop order is not in effect with respect thereto shall b a finding by the Commission that registration stateme and accurate on its face or that it does not contain an unt ment of fact or omit to state a material fact ...
32. lappuse
... effect concisely material contract made , not in the ordinary course ich contract is to be executed in whole or in part at ng of the registration statement or which contract not more than two years before such filing . Any ntract or ...
... effect concisely material contract made , not in the ordinary course ich contract is to be executed in whole or in part at ng of the registration statement or which contract not more than two years before such filing . Any ntract or ...
36. lappuse
... effect the Federal Trade Com- after in this title called " Commission " ) shall appoint id shall designate a chairman and a vice chairman eir number . After the directors designated as chair- chairman cease to be directors , their ...
... effect the Federal Trade Com- after in this title called " Commission " ) shall appoint id shall designate a chairman and a vice chairman eir number . After the directors designated as chair- chairman cease to be directors , their ...
65. lappuse
... effect any transaction in a security , to report any such transaction , unless such exchange ( 1 ) is r istered as a national securities exchange under section 6 of t title , or ( 2 ) is exempted from such registration upon application ...
... effect any transaction in a security , to report any such transaction , unless such exchange ( 1 ) is r istered as a national securities exchange under section 6 of t title , or ( 2 ) is exempted from such registration upon application ...
68. lappuse
... effect transactions e exchange without the services of another person Provided , however , That no national securities ex- e the authority to decrease the number of member- change , or the number of members and designated of members ...
... effect transactions e exchange without the services of another person Provided , however , That no national securities ex- e the authority to decrease the number of member- change , or the number of members and designated of members ...
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Bieži izmantoti vārdi un frāzes
action amount application appropriate regulatory agency assets authority bank Board broker or dealer broker or government business development company centum certificate clearing agency Commis Commission contract court curities debtor deemed determines director effect employee enforcement exempt face-amount certificate company Federal Reserve System filed foreign government securities broker government securities dealer holding company indenture securities investment adviser issuer istered jurisdiction limited partnership ment municipal securities dealer national securities exchange necessary or appropriate officer otherwise paragraph participant payment penalty penny stocks person associated proceeding protection of investors provisions public interest purchase purposes pursuant to section reasonable registered investment company registration statement regulations thereunder request respect rities rule or regulation rules and regulations secu Securities Act self-regulatory organization sion SIPC specified spect subparagraph subsection term thereof tion transaction transfer agent trustee underwriter unit investment trust United States Code unlawful violation