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 |
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1.5. rezultāts no 100.
9. lappuse
... agency or officer performing like functions , of any State or Territory of the United States or the District of Columbia ; 12 ( 9 ) Any security exchanged by the issuer with its existing se- curity holders exclusively where no ...
... agency or officer performing like functions , of any State or Territory of the United States or the District of Columbia ; 12 ( 9 ) Any security exchanged by the issuer with its existing se- curity holders exclusively where no ...
21. lappuse
... agency , or otherwise , or who , pursuant to or in connection with an agreement or understanding with one or more other per- sons by or through stock ownership , agency , or otherwise , controls any person liable under section 11 or 12 ...
... agency , or otherwise , or who , pursuant to or in connection with an agreement or understanding with one or more other per- sons by or through stock ownership , agency , or otherwise , controls any person liable under section 11 or 12 ...
24. lappuse
... agency , or organization , or group referred to in section 503 of the Small Business Investment Incentive Act of 1980 , while such forum , agency , organization , or group is carrying out activities in furtherance of the provisions of ...
... agency , or organization , or group referred to in section 503 of the Small Business Investment Incentive Act of 1980 , while such forum , agency , organization , or group is carrying out activities in furtherance of the provisions of ...
42. lappuse
... agency , or instrumentali- ty of a government . ( 10 ) The term " security " means any note , stock , treasury stock , bond , debenture , certificate of interest or participation in any profit - sharing agreement or in any oil , gas ...
... agency , or instrumentali- ty of a government . ( 10 ) The term " security " means any note , stock , treasury stock , bond , debenture , certificate of interest or participation in any profit - sharing agreement or in any oil , gas ...
45. lappuse
... agency " means any person who acts as an intermediary in making payments or deliveries or both in connection with transactions in securities or who pro- vides facilities for comparison of data respecting the terms of settlement of ...
... agency " means any person who acts as an intermediary in making payments or deliveries or both in connection with transactions in securities or who pro- vides facilities for comparison of data respecting the terms of settlement of ...
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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