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.
11. lappuse
... unless each of the conditions for sale contained in subparagraphs ( A ) ( 1 ) ( a ) through ( c ) are satisfied . ( 6 ) transactions involving offers or sales by an issuer solely to one or more accredited investors , if the aggregate ...
... unless each of the conditions for sale contained in subparagraphs ( A ) ( 1 ) ( a ) through ( c ) are satisfied . ( 6 ) transactions involving offers or sales by an issuer solely to one or more accredited investors , if the aggregate ...
12. lappuse
... unless such prospectus meets the requirements of section 10 ; or ( 2 ) to carry or cause to be carried through the mails or in interstate commerce any such security for the purpose of sale or for delivery after sale , unless accompanied ...
... unless such prospectus meets the requirements of section 10 ; or ( 2 ) to carry or cause to be carried through the mails or in interstate commerce any such security for the purpose of sale or for delivery after sale , unless accompanied ...
13. lappuse
... 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 subsection ( b ) . ( d ) The information contained in or filed with any registration statement ...
... 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 subsection ( b ) . ( d ) The information contained in or filed with any registration statement ...
20. lappuse
... unless such underwriter shall have know- ingly received from the issuer for acting as an underwriter some benefit , directly or indirectly , in which all other underwriters simi- larly situated did not share in proportion to their ...
... unless such underwriter shall have know- ingly received from the issuer for acting as an underwriter some benefit , directly or indirectly , in which all other underwriters simi- larly situated did not share in proportion to their ...
21. lappuse
... unless brought within one year after the discovery of the untrue statement or the omission , or after such discovery should have been made by the ex- ercise of reasonable diligence , or , if the action is to enforce a liabil- ity ...
... unless brought within one year after the discovery of the untrue statement or the omission , or after such discovery should have been made by the ex- ercise of reasonable diligence , or , if the action is to enforce a liabil- ity ...
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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