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.
4. lappuse
... deemed to be an offer or sale of such other security ; but the issue or transfer of such other security upon the exercise of such right of conversion or subscription shall be deemed a sale of such other security . ( 4 ) The term ...
... deemed to be an offer or sale of such other security ; but the issue or transfer of such other security upon the exercise of such right of conversion or subscription shall be deemed a sale of such other security . ( 4 ) The term ...
5. lappuse
... deemed a prospectus if it is proved that prior to or at the same time with such communication a written prospectus meeting the requirements of subsection ( a ) of section 10 at the time of such communication was sent or given to the ...
... deemed a prospectus if it is proved that prior to or at the same time with such communication a written prospectus meeting the requirements of subsection ( a ) of section 10 at the time of such communication was sent or given to the ...
12. lappuse
... deemed effective only as to the securities specified therein as proposed to be offered . ( b ) At the time of filing a registration statement the applicant shall pay to the Commission a fee of one - fiftieth of 1 per centum of the ...
... deemed effective only as to the securities specified therein as proposed to be offered . ( b ) At the time of filing a registration statement the applicant shall pay to the Commission a fee of one - fiftieth of 1 per centum of the ...
13. lappuse
... deemed to have taken place upon the receipt thereof , but the filing of a regis- tration statement shall not be deemed to have taken place unless it is accompanied by a United States postal money order or a certi- fied bank check or ...
... deemed to have taken place upon the receipt thereof , but the filing of a regis- tration statement shall not be deemed to have taken place unless it is accompanied by a United States postal money order or a certi- fied bank check or ...
16. lappuse
... deemed necessary or appropriate in the public interest or for the protection of investors otherwise pro- vides , be filed as part of the registration statement but shall not be deemed a part of such registration statement for the ...
... deemed necessary or appropriate in the public interest or for the protection of investors otherwise pro- vides , be filed as part of the registration statement but shall not be deemed a part of such registration statement for the ...
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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