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.
25. lappuse
... application by the Commission may issue to such person an order requiring such person to appear before the Commission , or one of its examiners designated by it , there to produce documentary evidence if so ordered , or there to give ...
... application by the Commission may issue to such person an order requiring such person to appear before the Commission , or one of its examiners designated by it , there to produce documentary evidence if so ordered , or there to give ...
26. lappuse
... application of such provision to any person or circumstance , shall be held invalid , the remainder of this Act , or the application of such provision to persons or circumstances other than those as to which it is held in- valid , shall ...
... application of such provision to any person or circumstance , shall be held invalid , the remainder of this Act , or the application of such provision to persons or circumstances other than those as to which it is held in- valid , shall ...
52. lappuse
... application for membership or participation in , or to become associated with a member of , such self - regulatory organization , is enjoined from any action , conduct , or practice specified in subparagraph ( C ) of such paragraph ( 4 ) ...
... application for membership or participation in , or to become associated with a member of , such self - regulatory organization , is enjoined from any action , conduct , or practice specified in subparagraph ( C ) of such paragraph ( 4 ) ...
61. lappuse
... application by any person aggrieved there- by , if the Commission determines summarily or after notice and op- portunity for hearing ( which hearing may consist solely of the sub- mission of affidavits or presentation of oral arguments ) ...
... application by any person aggrieved there- by , if the Commission determines summarily or after notice and op- portunity for hearing ( which hearing may consist solely of the sub- mission of affidavits or presentation of oral arguments ) ...
72. lappuse
... application of the exchange and on a show- ing that the rules of such exchange are otherwise adequate for the protection of investors , to exempt such exchange and its members from any such provision or rules and regulations . ( d ) It ...
... application of the exchange and on a show- ing that the rules of such exchange are otherwise adequate for the protection of investors , to exempt such exchange and its members from any such provision or rules and regulations . ( d ) It ...
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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