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 |
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1.–5. rezultāts no 99.
3. lappuse
... thereof ) , or any put , call , dle , option , or privilege entered into on a national securit change relating to foreign currency , or , in general , any i or instrument commonly known as a " security " , or any cate of interest or ...
... thereof ) , or any put , call , dle , option , or privilege entered into on a national securit change relating to foreign currency , or , in general , any i or instrument commonly known as a " security " , or any cate of interest or ...
5. lappuse
... thereof , state by whom orders will be executed , an such other information as the Commission , by rules tions deemed necessary or appropriate in the publi and for the protection of investors , and subject to su and conditions as may be ...
... thereof , state by whom orders will be executed , an such other information as the Commission , by rules tions deemed necessary or appropriate in the publi and for the protection of investors , and subject to su and conditions as may be ...
6. lappuse
... thereof , ncome , gains and losses , whether or not realized , from allocated to such account , are , in accordance with the ble contract , credited to or charged against such account regard to other income , gains , or losses of the ...
... thereof , ncome , gains and losses , whether or not realized , from allocated to such account , are , in accordance with the ble contract , credited to or charged against such account regard to other income , gains , or losses of the ...
8. lappuse
... thereof curity of which is likewise limited ; Any security issued by a person organized and operated vely for religious , educational , benevolent , fraternal , ole , or reformatory purposes and not for pecuniary prof- no part of the ...
... thereof curity of which is likewise limited ; Any security issued by a person organized and operated vely for religious , educational , benevolent , fraternal , ole , or reformatory purposes and not for pecuniary prof- no part of the ...
13. lappuse
... thereof , shall contain the information accompanied by the documents , specified in Schedule A , a relating to a security issued by a foreign government , or subdivision thereof , shall contain the information , and b panied by the ...
... thereof , shall contain the information accompanied by the documents , specified in Schedule A , a relating to a security issued by a foreign government , or subdivision thereof , shall contain the information , and b panied by the ...
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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