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 99.
. lappuse
... Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970 United States, United States. Congress. House. Committee on Energy and Commerce. COMMITTEE ON ENERGY AND COMMERCE JOHN D. DINGELL ...
... Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970 United States, United States. Congress. House. Committee on Energy and Commerce. COMMITTEE ON ENERGY AND COMMERCE JOHN D. DINGELL ...
16. lappuse
... investors . ( b ) In addition to the prospectus permitted or required in subsec- tion ( a ) , the Commission shall by rules or regulations deemed nec- essary or appropriate in the public interest or for the protection of investors ...
... investors . ( b ) In addition to the prospectus permitted or required in subsec- tion ( a ) , the Commission shall by rules or regulations deemed nec- essary or appropriate in the public interest or for the protection of investors ...
31. lappuse
... Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970 United States. ( 4 ) whether or not the issuer or its predecessor has , within a period of twenty years prior to the filing of ...
... Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970 United States. ( 4 ) whether or not the issuer or its predecessor has , within a period of twenty years prior to the filing of ...
33. lappuse
... Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970 United States. governing the manner in which its general business may be con- ducted and the powers granted to it by law may be ...
... Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970 United States. governing the manner in which its general business may be con- ducted and the powers granted to it by law may be ...
39. lappuse
... Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970 United States. 1 SECURITIES EXCHANGE ACT OF 1934 ( References in brackets [ ] are to title 15 , United States Code ) AN ACT To ...
... Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970 United States. 1 SECURITIES EXCHANGE ACT OF 1934 ( References in brackets [ ] are to title 15 , United States Code ) AN ACT To ...
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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