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 34.
5. lappuse
... meeting the requirements of subsection ( a ) of section 10 at the time of such communication was sent or given to the person to whom the communication was made , and ( b ) a notice , circular , advertisement , letter , or communica ...
... meeting the requirements of subsection ( a ) of section 10 at the time of such communication was sent or given to the person to whom the communication was made , and ( b ) a notice , circular , advertisement , letter , or communica ...
26. lappuse
... meeting referred to in paragraph ( 4 ) , while such association , conference , or meeting is carrying out activities in furtherance of the provisions of this subsection ; or ( B ) any forum , agency or organization , or group referred ...
... meeting referred to in paragraph ( 4 ) , while such association , conference , or meeting is carrying out activities in furtherance of the provisions of this subsection ; or ( B ) any forum , agency or organization , or group referred ...
33. lappuse
... meeting the re- quirements of paragraph ( 26 ) of this schedule , for the three preced- ing fiscal years , together with a balance sheet , similarly certified , of such business , meeting the requirements of paragraph ( 25 ) of this ...
... meeting the re- quirements of paragraph ( 26 ) of this schedule , for the three preced- ing fiscal years , together with a balance sheet , similarly certified , of such business , meeting the requirements of paragraph ( 25 ) of this ...
36. lappuse
... meeting spe- cially convened for that purpose by resolution passed by a majority of at least two thirds of the board ... meetings of holders of foreign securities . ( 2 ) Invite the deposit and undertake the custody of foreign securities ...
... meeting spe- cially convened for that purpose by resolution passed by a majority of at least two thirds of the board ... meetings of holders of foreign securities . ( 2 ) Invite the deposit and undertake the custody of foreign securities ...
58. lappuse
... meeting the requirements of subparagraphs ( A ) ( i ) and ( ii ) or certifi- cates of interest or participations in promissory notes meeting such requirements . 14 42 U.S.C. 5402 ( 6 ) . 15 12 U.S.C. 1709 , 1715b . 16 12 U.S.C. 1703 ...
... meeting the requirements of subparagraphs ( A ) ( i ) and ( ii ) or certifi- cates of interest or participations in promissory notes meeting such requirements . 14 42 U.S.C. 5402 ( 6 ) . 15 12 U.S.C. 1709 , 1715b . 16 12 U.S.C. 1703 ...
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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.