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, 1991 |
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1.–5. rezultāts no 100.
16. lappuse
... broker , dealer , investment adviser , investment com- pany , municipal securities dealer , government securities broker , government securities dealer , or transfer agent , or is , or was at the time of the alleged misconduct , an ...
... broker , dealer , investment adviser , investment com- pany , municipal securities dealer , government securities broker , government securities dealer , or transfer agent , or is , or was at the time of the alleged misconduct , an ...
45. lappuse
... broker or dealer with which such a natural person is as- sociated , ( iii ) any registered broker or dealer permitted to des- ignate as a representative such a natural person , and ( iv ) any other registered broker or dealer which ...
... broker or dealer with which such a natural person is as- sociated , ( iii ) any registered broker or dealer permitted to des- ignate as a representative such a natural person , and ( iv ) any other registered broker or dealer which ...
46. lappuse
... broker or dealer who agrees to be regulated by such association and with respect to whom the association undertakes to enforce compliance with the provisions of this title , the rules and regulations thereun- der , and its own rules ...
... broker or dealer who agrees to be regulated by such association and with respect to whom the association undertakes to enforce compliance with the provisions of this title , the rules and regulations thereun- der , and its own rules ...
49. lappuse
... broker or dealer " or " associated person of a broker or dealer " means any partner , officer , director , or branch manager of such broker or dealer ( or any person occupying a similar status or performing simi- lar functions ) , any ...
... broker or dealer " or " associated person of a broker or dealer " means any partner , officer , director , or branch manager of such broker or dealer ( or any person occupying a similar status or performing simi- lar functions ) , any ...
50. lappuse
... broker , dealer , association , or cooperative bank would be deemed to be a securities information processor solely ... broker , dealer , building and loan , savings and loan , or homestead association , or cooperative bank if such bank ...
... broker , dealer , association , or cooperative bank would be deemed to be a securities information processor solely ... broker , dealer , building and loan , savings and loan , or homestead association , or cooperative bank if such bank ...
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action amount application appropriate regulatory agency assets bank Board broker or dealer business development company centum certificate clearing agency Commis contract court curities deemed determine directly or indirectly directors effect employee exempt face-amount certificate company Federal Reserve System filed government securities broker government securities dealer holding company indenture securities interstate commerce investment adviser issuer jurisdiction ment municipal securities dealer national securities exchange necessary or appropriate officer opportunity for hearing paragraph participant payment penny stock proceeding protection of investors provisions public interest purchase purposes pursuant to section reasonable registered investment company registration statement regulations thereunder respect rule or regulation rules and regulations secu Securities Act securities issued self-regulatory organization sion SIPC specified suant subparagraph subsection subsidiary company term thereof tion transactions transfer agent trustee underwriter unit investment trust United States Code unlawful unless violation voting securities
Populāri fragmenti
77. 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...
410. 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.
5. lappuse - commerce' means trade, traffic, commerce, transportation, or communication among the several States, or between the District of Columbia or any Territory of the United States and any State or other Territory, or between any foreign country and any State, Territory, or the District of Columbia, or within the District of Columbia or any Territory, or between points in the same State but through any other State or any Territory or the District of Columbia or any foreign country. "(7) The term 'affecting...
18. lappuse - ... 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. The Commission may modify its findings as to the facts, by reason of the additional evidence so taken, and it shall file such modified or new findings, which, if supported by substantial evidence, shall be conclusive, and its recommendation, if any, for the modification or setting aside...
18. 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 the failure to adduce such evidence in the proceeding 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.
389. lappuse - State at any designated place of hearing. (c) In case of contumacy by, or refusal to obey a subpena issued to, any person, the Commission may invoke the aid of any court of the United States within the jurisdiction of which such investigation or proceeding is carried on, or where such person resides or carries on business, in requiring the attendance and testimony of witnesses and the production of books, papers, correspondence, memoranda, and other records.