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 |
No grāmatas satura
1.–5. rezultāts no 100.
12. lappuse
... filed under this title , unless such prospectus meets the requirements of section 10 ; or ( 2 ) to carry or cause to be carried through the mails or in interstate commerce any such security for the purpose of sale or for delivery after ...
... filed under this title , unless such prospectus meets the requirements of section 10 ; or ( 2 ) to carry or cause to be carried through the mails or in interstate commerce any such security for the purpose of sale or for delivery after ...
13. lappuse
... filed with any registration statement shall be made available to the public under such regula- tions as the Commission may prescribe , and copies thereof , photo- static or otherwise , shall be furnished to every applicant at such ...
... filed with any registration statement shall be made available to the public under such regula- tions as the Commission may prescribe , and copies thereof , photo- static or otherwise , shall be furnished to every applicant at such ...
14. lappuse
... filed prior to the effective date of such statement , the regis- tration statement shall be deemed to have been filed when such amendment was filed ; except that an amendment filed with the consent of the Commission , prior to the ...
... filed prior to the effective date of such statement , the regis- tration statement shall be deemed to have been filed when such amendment was filed ; except that an amendment filed with the consent of the Commission , prior to the ...
16. lappuse
... filed ( if required to be filed as part of the registration statement ) or includes any untrue statement of a material fact or omits to state any material fact required to be stated therein or necessary to make the statements therein ...
... filed ( if required to be filed as part of the registration statement ) or includes any untrue statement of a material fact or omits to state any material fact required to be stated therein or necessary to make the statements therein ...
17. lappuse
... filed with the Commission under such rules and regulations as it shall prescribe . The Commission may by rules and regulations require the filing with it of forms and prospectuses used in connection with the offer or sale of securities ...
... filed with the Commission under such rules and regulations as it shall prescribe . The Commission may by rules and regulations require the filing with it of forms and prospectuses used in connection with the offer or sale of securities ...
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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