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
... officer performing like functions , of any State or Territory of the United States or the District of Columbia ; 12 ( 9 ) Any security exchanged by the issuer with its existing se- curity holders exclusively where no commission or other ...
... officer performing like functions , of any State or Territory of the United States or the District of Columbia ; 12 ( 9 ) Any security exchanged by the issuer with its existing se- curity holders exclusively where no commission or other ...
12. lappuse
... officer or offi- cers , its principal financial officer , its comptroller or principal ac- counting officer , and the majority of its board of directors or per- sons performing similar functions ( or , if there is no board of direc ...
... officer or offi- cers , its principal financial officer , its comptroller or principal ac- counting officer , and the majority of its board of directors or per- sons performing similar functions ( or , if there is no board of direc ...
15. lappuse
... officer or officers designated by it shall have access to and may demand the production of any books and papers of , and may administer oaths and affirmations to and examine , the issuer , underwriter , or any other person , in respect ...
... officer or officers designated by it shall have access to and may demand the production of any books and papers of , and may administer oaths and affirmations to and examine , the issuer , underwriter , or any other person , in respect ...
22. lappuse
... officer or officers designated by it are empowered to administer oaths and affirma- tions , subpena witnesses , take evidence , and require Sec . 18 22 SECURITIES ACT OF 1933.
... officer or officers designated by it are empowered to administer oaths and affirma- tions , subpena witnesses , take evidence , and require Sec . 18 22 SECURITIES ACT OF 1933.
24. lappuse
... officer or officers of the Commission designated by it , and appropriate records thereof shall be kept . JURISDICTION OF OFFENSES AND SUITS SEC . 22. [ 77v Sec . 20 24 SECURITIES ACT OF 1933.
... officer or officers of the Commission designated by it , and appropriate records thereof shall be kept . JURISDICTION OF OFFENSES AND SUITS SEC . 22. [ 77v Sec . 20 24 SECURITIES ACT OF 1933.
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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