Compilation of Securities Laws Within the Jurisdiction of the Committee on Financial Services: Including Securities Act of 1933, Securities Exchange Act of 1934 ..., 4. sējumsU.S. Government Printing Office, 2003 |
No grāmatas satura
1.–5. rezultāts no 100.
10. lappuse
... officer performing like functions , of any State or Territory of the United States or the District of Columbia ; 1 ( 9 ) Except with respect to a security exchanged in a case under title 11 , any security exchanged by the issuer with ...
... officer performing like functions , of any State or Territory of the United States or the District of Columbia ; 1 ( 9 ) Except with respect to a security exchanged in a case under title 11 , any security exchanged by the issuer with ...
14. lappuse
... officer or offi- cers , its principal financial officer , its comptroller or principal ac- counting officer , and the majority of its board of directors or per- sons performing similar functions ( or , if there is no board of direc ...
... officer or offi- cers , its principal financial officer , its comptroller or principal ac- counting officer , and the majority of its board of directors or per- sons performing similar functions ( or , if there is no board of direc ...
18. lappuse
... officer or officers designated by it shall have access to and may demand the production of any books and papers of , and may administer oaths and affirmations to and examine , the issuer , underwriter , or any other person , in respect ...
... officer or officers designated by it shall have access to and may demand the production of any books and papers of , and may administer oaths and affirmations to and examine , the issuer , underwriter , or any other person , in respect ...
21. lappuse
... officer or director of any issuer that has a class of securities registered pursuant to section 12 of the Securities Ex- change Act of 1934 , or that is required to file reports pursuant to section 15 ( d ) of that Act , if the conduct ...
... officer or director of any issuer that has a class of securities registered pursuant to section 12 of the Securities Ex- change Act of 1934 , or that is required to file reports pursuant to section 15 ( d ) of that Act , if the conduct ...
38. lappuse
... officer or director of any issuer that has a class of securities reg- istered pursuant to section 12 of the Securities Exchange Act of 1934 or that is required to file reports pursuant to section 15 ( d ) of such Act if the person's ...
... officer or director of any issuer that has a class of securities reg- istered pursuant to section 12 of the Securities Exchange Act of 1934 or that is required to file reports pursuant to section 15 ( d ) of such Act if the person's ...
Citi izdevumi - Skatīt visu
Bieži izmantoti vārdi un frāzes
action affiliate amount application appropriate regulatory agency assets authority bank holding company Board broker or dealer business development company centum certificate clearing agency Commis Commission Commodity Commodity Exchange Act contract court curities deemed defined in section determines directors effect employee enforcement exempt Federal Federal Reserve System filed financial institution foreign Gramm-Leach-Bliley Act holders investment adviser issuer jurisdiction means ment municipal securities dealer national securities exchange necessary or appropriate notice officer pany paragraph participant payment penny stock prescribe proceeding protection of investors provisions public interest purchase purposes pursuant to section records registration statement respect rities rule or regulation rules and regulations Sarbanes-Oxley Act Secretary secu Securities Act Securities Exchange Act security futures product self-regulatory organization sion SIPC specified subparagraph subsection subsidiary term thereof tion trading transaction trustee underwriter unit investment trust United States Code violation