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 98.
9. lappuse
... finds that the enforcement of this title with respect to such securities is not necessary in the public interest and for the protection of investors by reason of the small amount involved or the limited character of the public offer ...
... finds that the enforcement of this title with respect to such securities is not necessary in the public interest and for the protection of investors by reason of the small amount involved or the limited character of the public offer ...
13. lappuse
... finds that the requirement of such information or document is inapplicable to such class and that disclosure fully adequate for the protection of investors is otherwise required to be included within the registration statement . If any ...
... finds that the requirement of such information or document is inapplicable to such class and that disclosure fully adequate for the protection of investors is otherwise required to be included within the registration statement . If any ...
35. lappuse
... finds that its taking effect is in the public interest and by proclamation so declares . SEC . 212. [ 77mm ] This title may be cited as the " Corporation of Foreign Bondholders Act , 1933. " TITLE III [ Title III , the Trust Indenture ...
... finds that its taking effect is in the public interest and by proclamation so declares . SEC . 212. [ 77mm ] This title may be cited as the " Corporation of Foreign Bondholders Act , 1933. " TITLE III [ Title III , the Trust Indenture ...
60. lappuse
... finds that such limitation imposes a burden on competition not necessary or appro- priate in furtherance of the purposes of this title . ( d ) ( 1 ) In any proceeding by a national securities exchange to de- termine whether a member or ...
... finds that such limitation imposes a burden on competition not necessary or appro- priate in furtherance of the purposes of this title . ( d ) ( 1 ) In any proceeding by a national securities exchange to de- termine whether a member or ...
62. lappuse
... finds that such schedule or fixed rates of commissions , allowances , discounts , or other fees are in the public interest ; and ( B ) permit a national securities exchange , by rule , to impose a schedule or fix rates of commissions ...
... finds that such schedule or fixed rates of commissions , allowances , discounts , or other fees are in the public interest ; and ( B ) permit a national securities exchange , by rule , to impose a schedule or fix rates of commissions ...
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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