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 99.
9. lappuse
... holders exclusively where no commission or other remu- neration is paid or given directly or indirectly for soliciting such exchange ; ( 10 ) Any security which is issued in exchange for one or more bona fide outstanding securities ...
... holders exclusively where no commission or other remu- neration is paid or given directly or indirectly for soliciting such exchange ; ( 10 ) Any security which is issued in exchange for one or more bona fide outstanding securities ...
14. lappuse
... holders thereof can be understood , and to the public interest and the protection of investors . If any amendment to any such state- ment is filed prior to the effective date of such statement , the regis- tration statement shall be ...
... holders thereof can be understood , and to the public interest and the protection of investors . If any amendment to any such state- ment is filed prior to the effective date of such statement , the regis- tration statement shall be ...
18. lappuse
... holders an earning statement cover- ing a period of at least twelve months beginning after the effective date of the registration statement , then the right of recovery under this subsection shall be conditioned on proof that such ...
... holders an earning statement cover- ing a period of at least twelve months beginning after the effective date of the registration statement , then the right of recovery under this subsection shall be conditioned on proof that such ...
31. lappuse
... holders of foreign securities in de- fault , there is hereby created a body corporate with the name " Cor- poration of Foreign Security Holders " ( herein called the " Corpora- tion " ) . The principal office of the Corporation shall be ...
... holders of foreign securities in de- fault , there is hereby created a body corporate with the name " Cor- poration of Foreign Security Holders " ( herein called the " Corpora- tion " ) . The principal office of the Corporation shall be ...
32. lappuse
... holders of foreign securities and such other information as may be required and to issue subpenas there- for ; to take over the functions of any fiscal and paying agents of any foreign securities in default ; to borrow money for the ...
... holders of foreign securities and such other information as may be required and to issue subpenas there- for ; to take over the functions of any fiscal and paying agents of any foreign securities in default ; to borrow money 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