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.
12. lappuse
... specified therein as proposed to be offered . ( b ) At the time of filing a registration statement the applicant shall pay to the Commission a fee of one - fiftieth of 1 per centum of the maximum aggregate price at which such securities ...
... specified therein as proposed to be offered . ( b ) At the time of filing a registration statement the applicant shall pay to the Commission a fee of one - fiftieth of 1 per centum of the maximum aggregate price at which such securities ...
13. lappuse
... specified in Schedule A , and when re- lating to a security issued by a foreign government , or political sub- division thereof , shall contain the information , and be accompanied by the documents , specified in Schedule B ; except ...
... specified in Schedule A , and when re- lating to a security issued by a foreign government , or political sub- division thereof , shall contain the information , and be accompanied by the documents , specified in Schedule B ; except ...
16. lappuse
... specified in subsection ( a ) . A prospectus per- mitted under this subsection shall , except to the extent the Com- mission by rules or regulations deemed necessary or appropriate in the public interest or for the protection of ...
... specified in subsection ( a ) . A prospectus per- mitted under this subsection shall , except to the extent the Com- mission by rules or regulations deemed necessary or appropriate in the public interest or for the protection of ...
20. lappuse
... specified in subsection ( a ) shall be jointly and severally liable , and every person who be- comes liable to make any payment under this section may recover contribution as in cases of contract from any person who , if sued separately ...
... specified in subsection ( a ) shall be jointly and severally liable , and every person who be- comes liable to make any payment under this section may recover contribution as in cases of contract from any person who , if sued separately ...
28. lappuse
... specified in paragraph ( 17 ) of this schedule , incurred or borne by or for the account of the issuer in connection with the sale of the security to be offered or properly chargeable thereto , including legal , engineering , certifica ...
... specified in paragraph ( 17 ) of this schedule , incurred or borne by or for the account of the issuer in connection with the sale of the security to be offered or properly chargeable thereto , including legal , engineering , certifica ...
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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