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 99.
. lappuse
... Advisers Act of 1940, Securities Investor Protection Act of 1970 United States. 100TH CONGRESS 2d Session 80-258 } COMMITTEE PRINT COMMITTEE PRINT 100 - S COMPILATION OF SECURITIES LAWS WITHIN THE JURISDICTION OF THE COMMITTEE ON ENERGY ...
... Advisers Act of 1940, Securities Investor Protection Act of 1970 United States. 100TH CONGRESS 2d Session 80-258 } COMMITTEE PRINT COMMITTEE PRINT 100 - S COMPILATION OF SECURITIES LAWS WITHIN THE JURISDICTION OF THE COMMITTEE ON ENERGY ...
. lappuse
... Advisers Act of 1940, Securities Investor Protection Act of 1970 United States. CONTENTS Page Securities Act of 1933 . 1 Securities Exchange Act of 1934 ..... Public Utility Holding Company Act of 1935 Trust Indenture Act of 1939 ...
... Advisers Act of 1940, Securities Investor Protection Act of 1970 United States. CONTENTS Page Securities Act of 1933 . 1 Securities Exchange Act of 1934 ..... Public Utility Holding Company Act of 1935 Trust Indenture Act of 1939 ...
. lappuse
... Advisers Act of 1940, Securities Investor Protection Act of 1970 United States, United States. Congress. House. Committee on Energy and Commerce. COMMITTEE ON ENERGY AND COMMERCE JOHN D. DINGELL, Michigan, Chairman JAMES H. SCHEUER, New ...
... Advisers Act of 1940, Securities Investor Protection Act of 1970 United States, United States. Congress. House. Committee on Energy and Commerce. COMMITTEE ON ENERGY AND COMMERCE JOHN D. DINGELL, Michigan, Chairman JAMES H. SCHEUER, New ...
6. lappuse
... Advisers Act of 1940, Securities Investor Protection Act of 1970 United States. ( 13 ) The term " insurance company " means a ... adviser ; or ( ii ) any person who , on the basis of such factors as finan- cial sophistication , net worth ...
... Advisers Act of 1940, Securities Investor Protection Act of 1970 United States. ( 13 ) The term " insurance company " means a ... adviser ; or ( ii ) any person who , on the basis of such factors as finan- cial sophistication , net worth ...
21. lappuse
... Advisers Act of 1940, Securities Investor Protection Act of 1970 United States. LIMITATION OF ACTIONS SEC . 13. [ 77m ] No action shall be maintained to enforce any li- ability created under section 11 or section 12 ( 2 ) unless brought ...
... Advisers Act of 1940, Securities Investor Protection Act of 1970 United States. LIMITATION OF ACTIONS SEC . 13. [ 77m ] No action shall be maintained to enforce any li- ability created under section 11 or section 12 ( 2 ) unless brought ...
Citi izdevumi - Skatīt visu
Bieži izmantoti vārdi un frāzes
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