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.
. lappuse
... Director PAUL C. SMITH , Minority Counsel / Staff Director CONTENTS Page Securities Act of 1933 . 1 Securities Exchange. JAMES H. SCHEUER , New York HENRY A. WAXMAN , California PHILIP R. SHARP , Indiana JAMES J. FLORIO , New Jersey ...
... Director PAUL C. SMITH , Minority Counsel / Staff Director CONTENTS Page Securities Act of 1933 . 1 Securities Exchange. JAMES H. SCHEUER , New York HENRY A. WAXMAN , California PHILIP R. SHARP , Indiana JAMES J. FLORIO , New Jersey ...
. lappuse
... Director Paul C. Smith, Minority Counsel/Staff Director NORMAN F. LENT, New York EDWARD R. MADIGAN, Illinois CARLOS J. MOORHEAD, California MATTHEW J. RINALDO, New Jersey WILLIAM E. DANNEMEYER, California BOB WHITTAKER, Kansas THOMAS J ...
... Director Paul C. Smith, Minority Counsel/Staff Director NORMAN F. LENT, New York EDWARD R. MADIGAN, Illinois CARLOS J. MOORHEAD, California MATTHEW J. RINALDO, New Jersey WILLIAM E. DANNEMEYER, California BOB WHITTAKER, Kansas THOMAS J ...
12. lappuse
... directors or per- sons performing similar functions ( or , if there is no board of direc- tors or persons performing similar functions , by the majority of the persons or board having the power of management of the issuer ) , and in ...
... directors or per- sons performing similar functions ( or , if there is no board of direc- tors or persons performing similar functions , by the majority of the persons or board having the power of management of the issuer ) , and in ...
17. lappuse
... director of ( or person performing similar functions ) or partner in , the issuer at the time of the filing of the part of the registration statement with respect to which his liability is asserted ; ( 3 ) every person who , with his ...
... director of ( or person performing similar functions ) or partner in , the issuer at the time of the filing of the part of the registration statement with respect to which his liability is asserted ; ( 3 ) every person who , with his ...
26. lappuse
... directors or persons perform- ing similar functions , and the chief executive , financial and ac- counting officers , chosen or to be chosen if the issuer be a corpora- tion , association , trust , or other entity ; of all partners , if ...
... directors or persons perform- ing similar functions , and the chief executive , financial and ac- counting officers , chosen or to be chosen if the issuer be a corpora- tion , association , trust , or other entity ; of all partners , if ...
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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