Compilation of Securities Laws Within the Jurisdiction of the Committee on Energy and Commerce: Including Securities Act of 1933, Securities Exchange Act of 1934 ...U.S. Government Printing Office, 1988 |
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1.–5. rezultāts no 100.
10. lappuse
... period , instead of forty days , shall be ninety days , or such shorter period as the Commission may specify by rules and regulations or order . ( 4 ) brokers ' transactions executed upon customers ' orders on any exchange or in the ...
... period , instead of forty days , shall be ninety days , or such shorter period as the Commission may specify by rules and regulations or order . ( 4 ) brokers ' transactions executed upon customers ' orders on any exchange or in the ...
31. lappuse
... period of twenty years prior to the filing of the registration state- ment , defaulted on the principal or interest of any external securi- ty , excluding intergovernmental debt , and , if so , the date , amount , and circumstances of ...
... period of twenty years prior to the filing of the registration state- ment , defaulted on the principal or interest of any external securi- ty , excluding intergovernmental debt , and , if so , the date , amount , and circumstances of ...
51. lappuse
... period not exceeding twelve months , or revoking his regis- tration as a broker , dealer , municipal securities dealer , government securities broker , or government securities dealer , or barring or suspending for a period not ...
... period not exceeding twelve months , or revoking his regis- tration as a broker , dealer , municipal securities dealer , government securities broker , or government securities dealer , or barring or suspending for a period not ...
65. lappuse
... period any such member , broker , or dealer to maintain a credit initially extended in conformity with the rules and ... periods , from the operation of this subsection and the rules and regulations thereunder . ( e ) The provisions of ...
... period any such member , broker , or dealer to maintain a credit initially extended in conformity with the rules and ... periods , from the operation of this subsection and the rules and regulations thereunder . ( e ) The provisions of ...
66. lappuse
... , or within such shorter period as the Board of Governors of the Federal Reserve System may prescribe by rule or regulation . RESTRICTIONS ON BORROWING BY MEMBERS , BROKERS , AND DEALERS Sec . 7 66 SECURITIES EXCHANGE ACT OF 1934.
... , or within such shorter period as the Board of Governors of the Federal Reserve System may prescribe by rule or regulation . RESTRICTIONS ON BORROWING BY MEMBERS , BROKERS , AND DEALERS Sec . 7 66 SECURITIES EXCHANGE ACT OF 1934.
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amount application appropriate regulatory agency assets bank Board broker or dealer broker or government business development company centum clearing agency Commis Commission Commodity Exchange Act contract corporation court debtor determine directly or indirectly directors effect employee face-amount certificate company Federal Reserve System filed government securities broker government securities dealer holding company indenture securities instrumentality of interstate interstate commerce investment adviser issuer mails means or instrumentality ment municipal securities dealer national securities exchange necessary or appropriate officer otherwise paragraph participant payment person associated proceeding protection of investors provisions public interest purchase purposes pursuant to section reasonable registered investment company registration statement respect rule or regulation rules and regulations secu Securities Act securities issued security holders self-regulatory organization sion SIPC specified subparagraph subsection term tion transactions transfer agent trustee unit investment trust United States Code unlawful voting securities
Populāri fragmenti
273. lappuse - ... security", or any certificate of interest or participation in, temporary or interim certificate for, receipt for, guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing.
390. lappuse - Is authorized to use as a public debt transaction the proceeds from the sale of any securities issued under the Second Liberty Bond Act...
15. lappuse - If either party shall apply to the court for leave to adduce additional evidence and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for...
444. lappuse - Every party shall have the right to present his case or defense by oral or documentary evidence, to submit rebuttal evidence, and to conduct such cross-examination as may be required for a full and true disclosure of the facts.
509. lappuse - States, and such guaranty shall be expressed on the face thereof, and such bonds shall be lawful investments, and may be accepted as security for all fiduciary, trust, and public funds, the investment or deposit of which shall be under the authority or control of the United States or any officer or officers thereof.
152. lappuse - Territory or other place subject to the jurisdiction of the United States, to enjoin such acts or practices, and upon a proper showing a permanent or temporary injunction or restraining order shall be; granted without bond.
221. lappuse - ... before the Commission, the court may order such additional evidence to be taken before the Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper.
419. lappuse - Each agency, in accordance with published rules, shall make available for public inspection and copying — (A) final opinions, including concurring and dissenting opinions, as well as orders, made in the adjudication of cases; (B) those statements of policy and interpretations which have been adopted by the agency and are not published in the Federal Register...
72. lappuse - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails or of any facility of any national securities exchange...
365. lappuse - ... or any rule or regulation thereunder or any undertaking contained in a registration statement as provided in subsection (d) of Section 15 of this title, which statement 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...