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
... public interest and for the protection of investors , and subject to such terms and conditions as may be prescribed therein , may permit . ( 11 ) The term " underwriter " means any person who has pur- chased from an issuer with a view ...
... public interest and for the protection of investors , and subject to such terms and conditions as may be prescribed therein , may permit . ( 11 ) The term " underwriter " means any person who has pur- chased from an issuer with a view ...
8. lappuse
... public interest and consistent with the protection of investors and the pur- poses fairly intended by the policy and provisions of this title . For purposes of this paragraph , a security issued or guaranteed by a bank shall not include ...
... public interest and consistent with the protection of investors and the pur- poses fairly intended by the policy and provisions of this title . For purposes of this paragraph , a security issued or guaranteed by a bank shall not include ...
9. lappuse
... public interest and for the protection of investors by reason of the small amount involved or the limited character of the public offer- ing ; but no issue of securities shall be exempted under this subsec- tion where the aggregate ...
... public interest and for the protection of investors by reason of the small amount involved or the limited character of the public offer- ing ; but no issue of securities shall be exempted under this subsec- tion where the aggregate ...
14. lappuse
... public , to the facili- ty with which the nature of the securities to be registered , their relationship to the capital structure of the issuer and the rights of holders thereof can be understood , and to the public interest and the ...
... public , to the facili- ty with which the nature of the securities to be registered , their relationship to the capital structure of the issuer and the rights of holders thereof can be understood , and to the public interest and the ...
16. lappuse
... public interest or for the protec- tion of 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 ...
... public interest or for the protec- tion of 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 ...
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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