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 71.
12. lappuse
... violation of this title . A regis- tration statement shall be deemed effective only as to the securities specified therein as proposed to be offered . ( b ) At the time of filing a registration statement the applicant shall pay to the ...
... violation of this title . A regis- tration statement shall be deemed effective only as to the securities specified therein as proposed to be offered . ( b ) At the time of filing a registration statement the applicant shall pay to the ...
20. lappuse
... violation of section 5 , or ( 2 ) offers or sells a security ( whether or not exempted by the provisions of section 3 , other than paragraph ( 2 ) of subsection ( a ) thereof ) , by the use of any means or instruments of trans ...
... violation of section 5 , or ( 2 ) offers or sells a security ( whether or not exempted by the provisions of section 3 , other than paragraph ( 2 ) of subsection ( a ) thereof ) , by the use of any means or instruments of trans ...
21. lappuse
... violation upon which it is based . In no event shall any such action be brought to enforce a liability created under section 11 or section 12 ( 1 ) more than three years after the security was bona fide offered to the public , or under ...
... violation upon which it is based . In no event shall any such action be brought to enforce a liability created under section 11 or section 12 ( 1 ) more than three years after the security was bona fide offered to the public , or under ...
24. lappuse
... violated , it may , in its discretion , either require or permit such person to file with it a statement in writing ... violation of the provisions of this title , or of any rule or regulation prescribed under authority thereof , the ...
... violated , it may , in its discretion , either require or permit such person to file with it a statement in writing ... violation of the provisions of this title , or of any rule or regulation prescribed under authority thereof , the ...
25. lappuse
... violations under this title and under the rules and regu- lations promulgated by the Commission in respect thereto , and , concurrent with State and Territorial courts , of all suits in equity and actions at law brought to enforce any ...
... violations under this title and under the rules and regu- lations promulgated by the Commission in respect thereto , and , concurrent with State and Territorial courts , of all suits in equity and actions at law brought to enforce any ...
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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