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 36.
5. lappuse
... meeting the requirements of subsection ( a ) of section 10 at the time of such communication was sent or given to the person to whom the communication was made , and ( b ) a notice , circular , advertisement , letter , or communica ...
... meeting the requirements of subsection ( a ) of section 10 at the time of such communication was sent or given to the person to whom the communication was made , and ( b ) a notice , circular , advertisement , letter , or communica ...
23. lappuse
... meetings as are deemed necessary , to which representatives from such securities associations , securities self - regulatory organizations , agencies , and private organizations involved in capital formation shall be invited to ...
... meetings as are deemed necessary , to which representatives from such securities associations , securities self - regulatory organizations , agencies , and private organizations involved in capital formation shall be invited to ...
24. lappuse
... meeting referred to in paragraph ( 4 ) , while such association , conference , or meeting is carrying out activities in furtherance of the provisions of this subsection ; or ( B ) any forum , agency , or organization , or group referred ...
... meeting referred to in paragraph ( 4 ) , while such association , conference , or meeting is carrying out activities in furtherance of the provisions of this subsection ; or ( B ) any forum , agency , or organization , or group referred ...
29. lappuse
... meeting the re- quirements of paragraph ( 26 ) of this schedule , for the three preced- ing fiscal years , together with a balance sheet , similarly certified , of such business , meeting the requirements of paragraph ( 25 ) of this ...
... meeting the re- quirements of paragraph ( 26 ) of this schedule , for the three preced- ing fiscal years , together with a balance sheet , similarly certified , of such business , meeting the requirements of paragraph ( 25 ) of this ...
32. lappuse
... meeting spe- cially convened for that purpose by resolution passed by a majority of at least two thirds of the board of directors , remove such member from office , provided that the member whom it is proposed to remove shall have seven ...
... meeting spe- cially convened for that purpose by resolution passed by a majority of at least two thirds of the board of directors , remove such member from office , provided that the member whom it is proposed to remove shall have seven ...
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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