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.
10. lappuse
... period , instead of forty days , shall be ninety days , or such shorter period as the Commission may specify by rules and regulations or order . ( 4 ) brokers ' transactions executed upon customers ' orders on any exchange or in the ...
... period , instead of forty days , shall be ninety days , or such shorter period as the Commission may specify by rules and regulations or order . ( 4 ) brokers ' transactions executed upon customers ' orders on any exchange or in the ...
18. lappuse
... period of at least twelve months beginning after the effective date of the registration statement , then the right of recovery under this subsection shall be conditioned on proof that such person ac- quired the security relying upon ...
... period of at least twelve months beginning after the effective date of the registration statement , then the right of recovery under this subsection shall be conditioned on proof that such person ac- quired the security relying upon ...
29. lappuse
... period as to the character of the charges , dividends or other distributions made against its various surplus accounts , and as to depreciation , depletion , and mainte- nance charges , in such detail and form as the Commission shall ...
... period as to the character of the charges , dividends or other distributions made against its various surplus accounts , and as to depreciation , depletion , and mainte- nance charges , in such detail and form as the Commission shall ...
31. lappuse
... period of twenty years prior to the filing of the registration state- ment , defaulted on the principal or interest of any external securi- ty , excluding intergovernmental debt , and , if so , the date , amount , and circumstances of ...
... period of twenty years prior to the filing of the registration state- ment , defaulted on the principal or interest of any external securi- ty , excluding intergovernmental debt , and , if so , the date , amount , and circumstances of ...
51. lappuse
... period not exceeding twelve months , or revoking his regis- tration as a broker , dealer , municipal securities dealer , government securities broker , or government securities dealer , or barring or suspending for a period not ...
... period not exceeding twelve months , or revoking his regis- tration as a broker , dealer , municipal securities dealer , government securities broker , or government securities dealer , or barring or suspending for a period not ...
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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