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.
6. lappuse
... prescribe . EXEMPTED SECURITIES 3 SEC . 3. [ 77c ] ( a ) Except as hereinafter expressly provided , the provisions of this title shall not apply to any of the following class- es of securities : ( 1 ) Reserved . ( 2 ) Any security ...
... prescribe . EXEMPTED SECURITIES 3 SEC . 3. [ 77c ] ( a ) Except as hereinafter expressly provided , the provisions of this title shall not apply to any of the following class- es of securities : ( 1 ) Reserved . ( 2 ) Any security ...
13. lappuse
... prescribe , and copies thereof , photo- static or 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 ...
... prescribe , and copies thereof , photo- static or 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 ...
17. lappuse
... prescribe as to each class the form and contents which it may find appropriate and consistent with the public interest and the protection of investors . ( e ) The statements or information required to be included in a prospectus by or ...
... prescribe as to each class the form and contents which it may find appropriate and consistent with the public interest and the protection of investors . ( e ) The statements or information required to be included in a prospectus by or ...
22. lappuse
... prescribe the form or forms in which re- quired information shall be set forth , the items or details to be shown in the balance sheet and earning statement , and the meth- ods to be followed in the preparation of accounts , in the ...
... prescribe the form or forms in which re- quired information shall be set forth , the items or details to be shown in the balance sheet and earning statement , and the meth- ods to be followed in the preparation of accounts , in the ...
29. lappuse
... prescribe ( with intangible items segregated ) , including any loan in excess of $ 20,000 to any officer , director , stockholder or person directly or indirectly controlling or controlled by the issuer , or person under direct or ...
... prescribe ( with intangible items segregated ) , including any loan in excess of $ 20,000 to any officer , director , stockholder or person directly or indirectly controlling or controlled by the issuer , or person under direct or ...
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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