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
... prior to or at the same time with such communication a written prospectus meeting the requirements of subsection ( a ) of section 10 at the time of such communication was sent or given to the person to whom the communication was made ...
... prior to or at the same time with such communication a written prospectus meeting the requirements of subsection ( a ) of section 10 at the time of such communication was sent or given to the person to whom the communication was made ...
7. lappuse
... prior to the satisfaction of all liabilities with respect to such employees and their beneficiaries , for any part of the corpus or income to be used for , or diverted to , purposes other than the exclusive benefit of such employees or ...
... prior to the satisfaction of all liabilities with respect to such employees and their beneficiaries , for any part of the corpus or income to be used for , or diverted to , purposes other than the exclusive benefit of such employees or ...
10. lappuse
... prior to the expira- tion of forty days after the effective date of such registra- tion statement or prior to the expiration of forty days after the first date upon which the security was bona fide of- fered to the public by the issuer ...
... prior to the expira- tion of forty days after the effective date of such registra- tion statement or prior to the expiration of forty days after the first date upon which the security was bona fide of- fered to the public by the issuer ...
12. lappuse
... ( prior to the effective date of the registration statement ) any public proceeding or exami- nation under section 8 . REGISTRATION OF SECURITIES AND SIGNING OF REGISTRATION STATEMENT SEC . 6. [ 77f ] ( a ) Any security may be registered ...
... ( prior to the effective date of the registration statement ) any public proceeding or exami- nation under section 8 . REGISTRATION OF SECURITIES AND SIGNING OF REGISTRATION STATEMENT SEC . 6. [ 77f ] ( a ) Any security may be registered ...
14. lappuse
... prior to the effective date of such statement , the regis- tration statement shall be deemed to have been filed when such amendment was filed ; except that an amendment filed with the consent of the Commission , prior to the effective ...
... prior to the effective date of such statement , the regis- tration statement shall be deemed to have been filed when such amendment was filed ; except that an amendment filed with the consent of the Commission , prior to the effective ...
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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