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 67.
34. lappuse
... operations during each year , send a copy thereof , together with a copy of the account and balance sheet and auditor's report , to the Commission and to both Houses of Con- gress , and provide one copy of such report but not more than ...
... operations during each year , send a copy thereof , together with a copy of the account and balance sheet and auditor's report , to the Commission and to both Houses of Con- gress , and provide one copy of such report but not more than ...
40. lappuse
... operation of the national banking system and Federal Re- serve System . ( 4 ) National emergencies , which produce widespread unemploy- ment and the dislocation of trade , transportation , and industry , and which burden interstate ...
... operation of the national banking system and Federal Re- serve System . ( 4 ) National emergencies , which produce widespread unemploy- ment and the dislocation of trade , transportation , and industry , and which burden interstate ...
43. lappuse
... operation of any one or more provisions of this title which by their terms do not apply to an " exempted security " or to " exempted securi- ties " . 1 ( B ) ( i ) Notwithstanding subparagraph ( A ) ( i ) of this paragraph , government ...
... operation of any one or more provisions of this title which by their terms do not apply to an " exempted security " or to " exempted securi- ties " . 1 ( B ) ( i ) Notwithstanding subparagraph ( A ) ( i ) of this paragraph , government ...
51. lappuse
... operation of the provisions of this title and rules and regulations there- under . ( 36 ) A class of persons or markets is subject to " equal regula- tion " if no member of the class has a competitive advantage over any other member ...
... operation of the provisions of this title and rules and regulations there- under . ( 36 ) A class of persons or markets is subject to " equal regula- tion " if no member of the class has a competitive advantage over any other member ...
56. lappuse
... operations or transactions of a character subject to regulation by the Commission pursuant to this title . Each commissioner shall hold office for a term of five years and until his successor is appointed and has qualified , except that ...
... operations or transactions of a character subject to regulation by the Commission pursuant to this title . Each commissioner shall hold office for a term of five years and until his successor is appointed and has qualified , except that ...
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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