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.
6. lappuse
... amount of assets under manage- ment qualifies as an accredited investor under rules and regulations which the Commission shall prescribe . EXEMPTED SECURITIES 3 SEC . 3. [ 77c ] ( a ) Except as hereinafter expressly provided , the ...
... amount of assets under manage- ment qualifies as an accredited investor under rules and regulations which the Commission shall prescribe . EXEMPTED SECURITIES 3 SEC . 3. [ 77c ] ( a ) Except as hereinafter expressly provided , the ...
8. lappuse
... amount thereof , less expenses , to an or- ganization or corporation described in clause ( i ) or ( ii ) ; ( 6 ) Any interest in a railroad equipment trust . For purposes of this paragraph " interest in a railroad equipment trust ...
... amount thereof , less expenses , to an or- ganization or corporation described in clause ( i ) or ( ii ) ; ( 6 ) Any interest in a railroad equipment trust . For purposes of this paragraph " interest in a railroad equipment trust ...
9. lappuse
... amount involved or the limited character of the public offer- ing ; but no issue of securities shall be exempted under this subsec- tion where the aggregate amount at which such issue is offered to the public exceeds $ 5,000,000 . ( c ) ...
... amount involved or the limited character of the public offer- ing ; but no issue of securities shall be exempted under this subsec- tion where the aggregate amount at which such issue is offered to the public exceeds $ 5,000,000 . ( c ) ...
19. lappuse
... amount paid for the security ( not exceeding the price at which the security was offered to the public ) and ( 1 ) the value thereof as of the time such suit was brought , or ( 2 ) the price at which such secu- rity shall have been ...
... amount paid for the security ( not exceeding the price at which the security was offered to the public ) and ( 1 ) the value thereof as of the time such suit was brought , or ( 2 ) the price at which such secu- rity shall have been ...
20. lappuse
... amount sufficient to reimburse him for the reasonable ex- penses incurred by him , in connection with such suit , such costs to be taxed in the manner usually provided for taxing of costs in the court in which the suit was heard . ( f ) ...
... amount sufficient to reimburse him for the reasonable ex- penses incurred by him , in connection with such suit , such costs to be taxed in the manner usually provided for taxing of costs in the court in which the suit was heard . ( f ) ...
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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