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 |
No grāmatas satura
1.–5. rezultāts no 100.
7. lappuse
... paragraph ( 4 ) or ( 6 ) of section 103 ( c ) of such Code ( determined as if paragraphs ( 4 ) ( A ) , ( 5 ) , and ( 7 ) 5 were not included in such section 103 ( c ) ) , paragraph ( 1 ) of such section 103 ( c ) does not apply to such ...
... paragraph ( 4 ) or ( 6 ) of section 103 ( c ) of such Code ( determined as if paragraphs ( 4 ) ( A ) , ( 5 ) , and ( 7 ) 5 were not included in such section 103 ( c ) ) , paragraph ( 1 ) of such section 103 ( c ) does not apply to such ...
8. lappuse
... paragraph , a security issued or guaranteed by a bank shall not include any interest or participation in any collective trust fund maintained by a bank ; and the term " bank ” means any national bank , or any banking institution ...
... paragraph , a security issued or guaranteed by a bank shall not include any interest or participation in any collective trust fund maintained by a bank ; and the term " bank ” means any national bank , or any banking institution ...
24. lappuse
... paragraph ( 1 ) of ( 3 ) or any conference or 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 ...
... paragraph ( 1 ) of ( 3 ) or any conference or 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 ...
29. lappuse
... 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 schedule of a date not more than ...
... 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 schedule of a date not more than ...
42. lappuse
... paragraph ( 42 ) of this subsection ; ( ii ) municipal securities , as defined in paragraph ( 29 ) of this subsection ; ( iii ) any interest or participation in any common trust fund or similar fund maintained by a bank exclusively for ...
... paragraph ( 42 ) of this subsection ; ( ii ) municipal securities , as defined in paragraph ( 29 ) of this subsection ; ( iii ) any interest or participation in any common trust fund or similar fund maintained by a bank exclusively for ...
Citi izdevumi - Skatīt visu
Bieži izmantoti vārdi un frāzes
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