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 100.
3. lappuse
... thereof , and for other purposes . Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled , TITLE I SHORT TITLE SECTION 1. [ 77a ] This title may be cited as the " Securities Act ...
... thereof , and for other purposes . Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled , TITLE I SHORT TITLE SECTION 1. [ 77a ] This title may be cited as the " Securities Act ...
6. lappuse
... thereof , under which income , gains and losses , whether or not realized , from assets allocated to such account , are , in accordance with the applicable contract , credited to or charged against such ac- count without regard to other ...
... thereof , under which income , gains and losses , whether or not realized , from assets allocated to such account , are , in accordance with the applicable contract , credited to or charged against such ac- count without regard to other ...
8. lappuse
... thereof the maturity of which is likewise limited ; ( 4 ) Any security issued by a person organized and operated exclusively for religious , educational , benevolent , fraternal , charitable , or reformatory purposes and not for ...
... thereof the maturity of which is likewise limited ; ( 4 ) Any security issued by a person organized and operated exclusively for religious , educational , benevolent , fraternal , charitable , or reformatory purposes and not for ...
13. lappuse
... thereof , but the filing of a regis- tration statement shall not be deemed to have taken place unless it is accompanied by a United States postal money order or a certi- fied bank check or cash for the amount of the fee required under ...
... thereof , but the filing of a regis- tration statement shall not be deemed to have taken place unless it is accompanied by a United States postal money order or a certi- fied bank check or cash for the amount of the fee required under ...
24. lappuse
... thereof , have been or are about to be violated , it may , in its discretion , either require or permit such person to file with it a statement in writing , under oath , or otherwise , as to all the facts and circum- stances concerning ...
... thereof , have been or are about to be violated , it may , in its discretion , either require or permit such person to file with it a statement in writing , under oath , or otherwise , as to all the facts and circum- stances concerning ...
Citi izdevumi - Skatīt visu
Bieži izmantoti vārdi un frāzes
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