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 52.
3. lappuse
... individual , a corporation , a partnership , an association , a joint - stock company , a trust , any unincorporated organization , or a government or political sub- division thereof . As used in this paragraph the term " trust " shall ...
... individual , a corporation , a partnership , an association , a joint - stock company , a trust , any unincorporated organization , or a government or political sub- division thereof . As used in this paragraph the term " trust " shall ...
6. lappuse
... individual or fiduciary capacity ; an insurance company as defined in section 2 ( 13 ) of the Act ; an invest- ment company registered under the Investment Company Act of 1940 or a business development company as defined in section 2 ...
... individual or fiduciary capacity ; an insurance company as defined in section 2 ( 13 ) of the Act ; an invest- ment company registered under the Investment Company Act of 1940 or a business development company as defined in section 2 ...
8. lappuse
... individual ; ( 5 ) Any security issued ( A ) by a savings and loan association , building and loan association , cooperative bank , homestead as- sociation , or similar institution , which is supervised and exam- ined by State or ...
... individual ; ( 5 ) Any security issued ( A ) by a savings and loan association , building and loan association , cooperative bank , homestead as- sociation , or similar institution , which is supervised and exam- ined by State or ...
26. lappuse
... individual ; and of the promoters in the case of a business to be formed , or formed within two years prior to the filing of the registration state- ment ; ( 5 ) the names and addresses of the underwriters ; ( 6 ) the names and ...
... individual ; and of the promoters in the case of a business to be formed , or formed within two years prior to the filing of the registration state- ment ; ( 5 ) the names and addresses of the underwriters ; ( 6 ) the names and ...
34. lappuse
... individual or individ- uals connected therewith were speaking or acting for the said Department of State or the United States Government ; or ( c ) to do any act directly or indirectly which would interfere with or obstruct or hinder or ...
... individual or individ- uals connected therewith were speaking or acting for the said Department of State or the United States Government ; or ( c ) to do any act directly or indirectly which would interfere with or obstruct or hinder or ...
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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