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 39.
10. lappuse
... participant in the distribution of such securi- ties by the issuer or by or through an underwriter.15 With respect to transactions referred to in clause ( B ) , if securi- ties of the issuer have not previously been sold pursuant to an ...
... participant in the distribution of such securi- ties by the issuer or by or through an underwriter.15 With respect to transactions referred to in clause ( B ) , if securi- ties of the issuer have not previously been sold pursuant to an ...
46. lappuse
... participant therein in connection with the furnishing by the clearing agency of services to its participants or the use of services of the clearing agency by its participants , unless the Commission , by rule , otherwise provides as ...
... participant therein in connection with the furnishing by the clearing agency of services to its participants or the use of services of the clearing agency by its participants , unless the Commission , by rule , otherwise provides as ...
48. lappuse
... participant or applicant to become a participant in a clearing agency or a person requesting or having access to services offered by a clear- Sec . 3 48 SECURITIES EXCHANGE ACT OF 1934.
... participant or applicant to become a participant in a clearing agency or a person requesting or having access to services offered by a clear- Sec . 3 48 SECURITIES EXCHANGE ACT OF 1934.
56. lappuse
... participants in the Commission's professional fellows pro- grams may pay such participants their actual expenses for reloca- tion to Washington , District of Columbia , to facilitate their partici- pation in such programs , and program ...
... participants in the Commission's professional fellows pro- grams may pay such participants their actual expenses for reloca- tion to Washington , District of Columbia , to facilitate their partici- pation in such programs , and program ...
89. lappuse
... participant in any transaction having such purpose or effect . ( 6 ) The provisions of this subsection shall not apply to- ( A ) any acquisition or offer to acquire securities made or pro- posed to be made by means of a registration ...
... participant in any transaction having such purpose or effect . ( 6 ) The provisions of this subsection shall not apply to- ( A ) any acquisition or offer to acquire securities made or pro- posed to be made by means of a registration ...
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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