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
... tion in respect of a security shall not be deemed to be a pro- spectus if it states from whom a written prospectus meeting the requirements of section 10 may be obtained and , in addi- tion , does no more than identify the security ...
... tion in respect of a security shall not be deemed to be a pro- spectus if it states from whom a written prospectus meeting the requirements of section 10 may be obtained and , in addi- tion , does no more than identify the security ...
8. lappuse
... tion 403 ( b ) 9 of such Code . The Commission , by rules and regu- lations or order , shall exempt from the provisions of section 5 of this title any interest or participation issued in connection with a stock bonus , pension , profit ...
... tion 403 ( b ) 9 of such Code . The Commission , by rules and regu- lations or order , shall exempt from the provisions of section 5 of this title any interest or participation issued in connection with a stock bonus , pension , profit ...
10. lappuse
... 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 of- fered to the public by the issuer or by or through an ...
... 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 of- fered to the public by the issuer or by or through an ...
11. lappuse
... tion described in such subparagraph or to any insurance company subject to the supervision of the insurance com- missioner , or any agency or officer performing like func- tion , of any State or territory of the United States or the ...
... tion described in such subparagraph or to any insurance company subject to the supervision of the insurance com- missioner , or any agency or officer performing like func- tion , of any State or territory of the United States or the ...
12. lappuse
... tion or communication interstate commerce or of the mails to carry or transmit any prospectus relating to any security with respect to which a registration statement has been filed under this title , unless such prospectus meets the ...
... tion or communication interstate commerce or of the mails to carry or transmit any prospectus relating to any security with respect to which a registration statement has been filed under this title , unless such prospectus meets the ...
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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