International Securities Enforcement: Hearing Before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred First Congress, First Session, on H.R. 1396 ... March 21, 1989, 4. sējumsU.S. Government Printing Office, 1989 - 176 lappuses |
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administer or enforce amend Section appropriate assistance authorize the Commission board of trade broker or dealer broker-dealers Chairman Commission's authority Commodity Exchange Act commodity for future CONGRESS THE LIBRARY contract market contracts of sale convicted court of competent crimes documents Enforcement Cooperation Act equivalent foreign statute felony filed financial regulatory authority FOIA foreign authorities foreign court foreign equivalent foreign financial regulatory foreign law foreign securities authority government securities broker government securities dealer impose sanctions inserting Insider Trading International Securities Enforcement international securities exchange investigation Investment Advisers Act Investment Company Act LIBRARY OF CONGRESS MOUS municipal securities dealer NASD NASDAQ paragraph permit the Commission proposed legislation pursuant registered investment company reimbursement request RUDER rules Section 15 Section 203 Section 9 Securities Exchange Act securities laws securities markets securities professionals self-regulatory organization statute or regulation statutory disqualification substantially equivalent foreign U.S. securities United Kingdom United States Code
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114. lappuse - Any person who shall make or cause to be made any statement in any application, report, or document filed pursuant to this title or any rule or regulation thereunder, 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...
143. 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...
133. lappuse - Commission under this title, or in any proceeding before the 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, or...
140. lappuse - Act or any substantially equivalent foreign statute or regulation, or from engaging in or continuing any conduct or practice in connection with any such activity, or in connection with the purchase or sale of any security.
24. lappuse - S.249 before the Subcommittee on Securities of the Senate Committee on Banking, Housing and Urban Affairs, 94th Cong., 1st Sess., 1 (1975).
141. lappuse - Act, or of this title, or of any rule or regulation under any of such statutes ; or "(3) has willfully aided, abetted, counseled, commanded, induced, or procured the violation by any other person of...
141. lappuse - ... (A) there have been established procedures, and a system for applying such procedures, which would reasonably be expected to prevent...
116. lappuse - 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, or has omitted to state in any such application or report any material fact which is required to be stated therein.
97. lappuse - ... from serving or acting as an employee, officer, director, member of an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter...
143. lappuse - SEC. 9. [80a-9] (a) It shall be unlawful for any of the following persons to serve or act in the capacity of employee, officer, director, member of an advisory board, investment adviser, or depositor...