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 96.
11. lappuse
... unlawful for any person , directly or in- directly- ( 1 ) to make use of any means or instruments of transporta- tion or communication in interstate commerce or of the mails to sell such security through the use or medium of any pro ...
... unlawful for any person , directly or in- directly- ( 1 ) to make use of any means or instruments of transporta- tion or communication in interstate commerce or of the mails to sell such security through the use or medium of any pro ...
12. lappuse
... unlawful for any person , directly or indirectly- ( 1 ) to make use of any means or instruments of transporta- tion or communication interstate commerce or of the mails to carry or transmit any prospectus relating to any security with ...
... unlawful for any person , directly or indirectly- ( 1 ) to make use of any means or instruments of transporta- tion or communication interstate commerce or of the mails to carry or transmit any prospectus relating to any security with ...
21. lappuse
... unlawful for any person in the offer or sale of any securities by the use of any means or instruments of transportation or communication in interstate commerce or by the use of the mails , directly or indirectly— ( 1 ) to employ any ...
... unlawful for any person in the offer or sale of any securities by the use of any means or instruments of transportation or communication in interstate commerce or by the use of the mails , directly or indirectly— ( 1 ) to employ any ...
22. lappuse
... unlawful for any person , by the use of any means or instruments of transportation or communication in interstate commerce or by the use of the mails , to publish , give publicity to , or circulate any notice , circular , advertisement ...
... unlawful for any person , by the use of any means or instruments of transportation or communication in interstate commerce or by the use of the mails , to publish , give publicity to , or circulate any notice , circular , advertisement ...
25. lappuse
... UNLAWFUL REPRESENTATIONS SEC . 23. [ 77w ] Neither the fact that the registration statement for a security has been filed or is in effect nor the fact that a stop order is not in effect with respect thereto shall be deemed a finding by ...
... UNLAWFUL REPRESENTATIONS SEC . 23. [ 77w ] Neither the fact that the registration statement for a security has been filed or is in effect nor the fact that a stop order is not in effect with respect thereto shall be deemed a finding by ...
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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