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 84.
5. lappuse
... contain such other information as the Commission , by rules or regula- tions deemed necessary or appropriate in the public interest and for the protection of investors , and subject to such terms and conditions as may be prescribed ...
... contain such other information as the Commission , by rules or regula- tions deemed necessary or appropriate in the public interest and for the protection of investors , and subject to such terms and conditions as may be prescribed ...
6. lappuse
... contained at : 7 U.S.C. 1932 ( d ) ( 6 ) ; 12 U.S.C. 1455 , 1717 , 1719 , 1723c ; 15 U.S.C. 77c , note ; 20 U.S.C. 1087-2 , 1087hh ; 22 U.S.C. 283 ( h ) , 285h , 286k - 1 , 290i - 9 ; 43 U.S.C. 1625 ; and 45 U.S.C. 720. [ Printed in ...
... contained at : 7 U.S.C. 1932 ( d ) ( 6 ) ; 12 U.S.C. 1455 , 1717 , 1719 , 1723c ; 15 U.S.C. 77c , note ; 20 U.S.C. 1087-2 , 1087hh ; 22 U.S.C. 283 ( h ) , 285h , 286k - 1 , 290i - 9 ; 43 U.S.C. 1625 ; and 45 U.S.C. 720. [ Printed in ...
10. lappuse
... contained at 11 U.S.C. 1145. [ Printed in appendix to this volume . ] 15 But see section 14 ( d ) of the Investment Company Act of 1940 , infra . ( b ) the purchaser shall pay cash either at Sec . 4 10 SECURITIES ACT OF 1933.
... contained at 11 U.S.C. 1145. [ Printed in appendix to this volume . ] 15 But see section 14 ( d ) of the Investment Company Act of 1940 , infra . ( b ) the purchaser shall pay cash either at Sec . 4 10 SECURITIES ACT OF 1933.
11. lappuse
... contained in subparagraphs ( A ) ( 1 ) ( a ) through ( c ) are satisfied . ( 6 ) transactions involving offers or sales by an issuer solely to one or more accredited investors , if the aggregate offering price of an issue of securities ...
... contained in subparagraphs ( A ) ( 1 ) ( a ) through ( c ) are satisfied . ( 6 ) transactions involving offers or sales by an issuer solely to one or more accredited investors , if the aggregate offering price of an issue of securities ...
13. lappuse
... contained in or filed with any registration statement shall be made available to the public under such regula- tions ... contain the information , and be ac- companied by the documents , specified in Schedule A , and when re- lating to a ...
... contained in or filed with any registration statement shall be made available to the public under such regula- tions ... contain the information , and be ac- companied by the documents , specified in Schedule A , and when re- lating to a ...
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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