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
... statement " means the statement provided for in section 6 , and includes any amendment thereto and any report , document , or memorandum filed as part of such statement or incorporated therein by reference . ( 9 ) The term " write " or ...
... statement " means the statement provided for in section 6 , and includes any amendment thereto and any report , document , or memorandum filed as part of such statement or incorporated therein by reference . ( 9 ) The term " write " or ...
10. lappuse
... statement has been filed taking place 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 ...
... statement has been filed taking place 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 ...
12. lappuse
... statement has been filed as to such security , or while the registration statement is the subject of a refusal order or stop order or ( prior to the effective date of the registration statement ) any public proceeding or exami- nation ...
... statement has been filed as to such security , or while the registration statement is the subject of a refusal order or stop order or ( prior to the effective date of the registration statement ) any public proceeding or exami- nation ...
13. lappuse
... statement , or of an amendment to a registration statement , shall be deemed to have taken place upon the receipt thereof , but the filing of a regis- tration statement shall not be deemed to have taken place unless it is accompanied by ...
... statement , or of an amendment to a registration statement , shall be deemed to have taken place upon the receipt thereof , but the filing of a regis- tration statement shall not be deemed to have taken place unless it is accompanied by ...
14. lappuse
... statement shall be the twentieth day after the filing thereof or such earlier date as the Commission may de- termine ... statement , the regis- tration statement shall be deemed to have been filed when such amendment was filed ; except ...
... statement shall be the twentieth day after the filing thereof or such earlier date as the Commission may de- termine ... statement , the regis- tration statement shall be deemed to have been filed when such amendment was filed ; except ...
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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