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 73.
5. lappuse
... agent , broker , or principal , in the business of offering , buying , selling , or otherwise dealing or trading in securities issued by another person . ( 13 ) The term " insurance company " means 5 Sec . 2 SECURITIES ACT OF 1933.
... agent , broker , or principal , in the business of offering , buying , selling , or otherwise dealing or trading in securities issued by another person . ( 13 ) The term " insurance company " means 5 Sec . 2 SECURITIES ACT OF 1933.
6. lappuse
... agent for such company , in his capacity as such . ( 14 ) The term " separate account " means an account estab- lished and maintained by an insurance company pursuant to the laws of any State or territory of the United States , the Dis ...
... agent for such company , in his capacity as such . ( 14 ) The term " separate account " means an account estab- lished and maintained by an insurance company pursuant to the laws of any State or territory of the United States , the Dis ...
26. lappuse
... agent in the United States authorized to receive notice ; ( 4 ) the names and addresses of the directors or persons perform- ing similar functions , and the chief executive , financial and ac- counting officers , chosen or to be chosen ...
... agent in the United States authorized to receive notice ; ( 4 ) the names and addresses of the directors or persons perform- ing similar functions , and the chief executive , financial and ac- counting officers , chosen or to be chosen ...
31. lappuse
... agent , if any , in the United States ; ( 8 ) the estimated net proceeds to be derived from the sale in the United States of the security to be offered ; ( 9 ) the price at which it is proposed that the security shall be of- fered in ...
... agent , if any , in the United States ; ( 8 ) the estimated net proceeds to be derived from the sale in the United States of the security to be offered ; ( 9 ) the price at which it is proposed that the security shall be of- fered in ...
32. lappuse
... agents , or dealers in foreign securities information relative to the original or present holders of foreign securities and such other information as may be required and to issue subpenas there- for ; to take over the functions of any ...
... agents , or dealers in foreign securities information relative to the original or present holders of foreign securities and such other information as may be required and to issue subpenas there- for ; to take over the functions of any ...
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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