Compilation of Securities Laws Within the Jurisdiction of the Committee on Energy and Commerce: Including Securities Act of 1933, Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, Trust Indenture Act of 1939, Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970, 4. sējumsU.S. Government Printing Office, 1988 - 542 lappuses |
No grāmatas satura
1.–5. rezultāts no 100.
18. lappuse
... action and that he would not be responsible for such part of the registration statement ; or ( 2 ) that if such part of the registration statement became ef- fective without his knowledge , upon becoming aware of such fact he forthwith ...
... action and that he would not be responsible for such part of the registration statement ; or ( 2 ) that if such part of the registration statement became ef- fective without his knowledge , upon becoming aware of such fact he forthwith ...
21. lappuse
... ACTIONS SEC . 13. [ 77m ] No action shall be maintained to enforce any li- ability created under section 11 or section 12 ( 2 ) unless brought within one year after the discovery of the untrue statement or the omission , or after such ...
... ACTIONS SEC . 13. [ 77m ] No action shall be maintained to enforce any li- ability created under section 11 or section 12 ( 2 ) unless brought within one year after the discovery of the untrue statement or the omission , or after such ...
24. lappuse
... action in any district court of the United States , or United States court of any Territory , to enjoin such acts or practices , and upon a proper showing , a per- manent or temporary injunction or restraining order shall be granted ...
... action in any district court of the United States , or United States court of any Territory , to enjoin such acts or practices , and upon a proper showing , a per- manent or temporary injunction or restraining order shall be granted ...
25. lappuse
... actions at law brought to enforce any liability or duty created by this title . Any such suit or action may be brought in the district wherein the defendant is found or is an inhabitant or transacts business , or in the district where ...
... actions at law brought to enforce any liability or duty created by this title . Any such suit or action may be brought in the district wherein the defendant is found or is an inhabitant or transacts business , or in the district where ...
52. lappuse
... action , conduct , or practice specified in subparagraph ( C ) of such paragraph ( 4 ) , has willfully made or caused to be made in any application for membership or participation in , or to become associated with a member of , a self ...
... action , conduct , or practice specified in subparagraph ( C ) of such paragraph ( 4 ) , has willfully made or caused to be made in any application for membership or participation in , or to become associated with a member of , a self ...
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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 curities 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 interstate commerce investment adviser issuer loan 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