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.
16. lappuse
... subsection or subsections ( c ) , ( d ) , or ( e ) — ( 1 ) a prospectus relating to a security other than a security issued by a foreign government or political subdivision thereof , shall contain the information contained in the ...
... subsection or subsections ( c ) , ( d ) , or ( e ) — ( 1 ) a prospectus relating to a security other than a security issued by a foreign government or political subdivision thereof , shall contain the information contained in the ...
20. lappuse
... subsection ( a ) for damages in excess of the total price at which the securities underwritten by him and dis- tributed to the public were offered to the public . In any suit under this or any other section of this title the court may ...
... subsection ( a ) for damages in excess of the total price at which the securities underwritten by him and dis- tributed to the public were offered to the public . In any suit under this or any other section of this title the court may ...
23. lappuse
... subsection that there should be greater Federal and State cooperation in securities matters , includ- ing- ( A ) maximum effectiveness of regulation , ( B ) maximum uniformity in Federal and State regulatory standards , ( C ) minimum ...
... subsection that there should be greater Federal and State cooperation in securities matters , includ- ing- ( A ) maximum effectiveness of regulation , ( B ) maximum uniformity in Federal and State regulatory standards , ( C ) minimum ...
54. lappuse
... subsection ; or ( B ) any person registered with the Commodity Futures Trading Commission , any contract market designated by the Commodity Futures Trading Commission , such con- tract market's affiliated clearing organization , or any ...
... subsection ; or ( B ) any person registered with the Commodity Futures Trading Commission , any contract market designated by the Commodity Futures Trading Commission , such con- tract market's affiliated clearing organization , or any ...
61. lappuse
... subsection ) , the exchange shall bring specif- ic charges , notify such member or person of , and give him an op- portunity to defend against , such charges , and keep a record . A de- termination by the exchange to impose a ...
... subsection ) , the exchange shall bring specif- ic charges , notify such member or person of , and give him an op- portunity to defend against , such charges , and keep a record . A de- termination by the exchange to impose a ...
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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