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 |
No grāmatas satura
1.–5. rezultāts no 64.
3. lappuse
... relating to foreign currency , or , in general , any inter- est or instrument commonly known as a " security " , or any cer- tificate of interest or participation in , temporary or interim certificate for , receipt for , guarantee of ...
... relating to foreign currency , or , in general , any inter- est or instrument commonly known as a " security " , or any cer- tificate of interest or participation in , temporary or interim certificate for , receipt for , guarantee of ...
11. lappuse
... RELATING TO INTERSTATE COMMERCE AND THE MAILS SEC . 5. [ 77e ] ( a ) Unless a registration statement is in effect as to a security , it shall be unlawful for any person , directly or in- directly- ( 1 ) to make use of any means or ...
... RELATING TO INTERSTATE COMMERCE AND THE MAILS SEC . 5. [ 77e ] ( a ) Unless a registration statement is in effect as to a security , it shall be unlawful for any person , directly or in- directly- ( 1 ) to make use of any means or ...
12. lappuse
... relating to any security with respect to which a registration statement has been filed under this title , unless such prospectus meets the requirements of section 10 ; or ( 2 ) to carry or cause to be carried through the mails or in ...
... relating to any security with respect to which a registration statement has been filed under this title , unless such prospectus meets the requirements of section 10 ; or ( 2 ) to carry or cause to be carried through the mails or in ...
13. lappuse
... relating to a se- curity other than a security issued by a foreign government , or po- litical subdivision thereof , shall contain the information , and be ac- companied by the documents , specified in Schedule A , and when re- lating ...
... relating to a se- curity other than a security issued by a foreign government , or po- litical subdivision thereof , shall contain the information , and be ac- companied by the documents , specified in Schedule A , and when re- lating ...
16. lappuse
... relating to a security other than a security issued by a foreign government or political subdivision thereof , shall contain the information contained in the registration statement , but it need not include the documents referred to in ...
... relating to a security other than a security issued by a foreign government or political subdivision thereof , shall contain the information contained in the registration statement , but it need not include the documents referred to in ...
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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