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 100.
5. lappuse
... , as agent , broker , or principal , in the business of offering , buying , selling , or otherwise dealing or trading in securities issued by another person . ( 13 ) The term " insurance company " means 5 Sec . 2 SECURITIES ACT OF 1933.
... , as agent , broker , or principal , in the business of offering , buying , selling , or otherwise dealing or trading in securities issued by another person . ( 13 ) The term " insurance company " means 5 Sec . 2 SECURITIES ACT OF 1933.
13. lappuse
... otherwise , shall be furnished to every applicant at such reasonable charge as the Commission may prescribe . INFORMATION REQUIRED IN REGISTRATION STATEMENT 18 SEC . 7. [ 77g ] The registration statement , when relating to a se- curity ...
... otherwise , shall be furnished to every applicant at such reasonable charge as the Commission may prescribe . INFORMATION REQUIRED IN REGISTRATION STATEMENT 18 SEC . 7. [ 77g ] The registration statement , when relating to a se- curity ...
16. lappuse
... otherwise permitted or re- quired pursuant to this subsection or subsections ( c ) , ( d ) , or ( e ) — ( 1 ) a prospectus relating to a security other than a security issued by a foreign government or political subdivision thereof ...
... otherwise permitted or re- quired pursuant to this subsection or subsections ( c ) , ( d ) , or ( e ) — ( 1 ) a prospectus relating to a security other than a security issued by a foreign government or political subdivision thereof ...
17. lappuse
... otherwise , and , by rules and regula- tions and subject to such terms and conditions as it shall specify therein , to prescribe as to each class the form and contents which it may find appropriate and consistent with the public ...
... otherwise , and , by rules and regula- tions and subject to such terms and conditions as it shall specify therein , to prescribe as to each class the form and contents which it may find appropriate and consistent with the public ...
21. lappuse
... otherwise , or who , pursuant to or in connection with an agreement or understanding with one or more other per- sons by or through stock ownership , agency , or otherwise , controls any person liable under section 11 or 12 , shall also ...
... otherwise , or who , pursuant to or in connection with an agreement or understanding with one or more other per- sons by or through stock ownership , agency , or otherwise , controls any person liable under section 11 or 12 , shall also ...
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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