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, Market Reform Act of 1990 (section 8), Penny Stock Reform Act of 1990 (sections 504(b) and 510).
U.S. Government Printing Office, 1991 - 623 lappuses
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accordance action adviser agency agent amount application assets association authority bank Board broker broker or dealer centum certificate Commission contract corporation court deemed described determine directly directors effect employee enforcement engaged exempt extent Federal filed finds foreign government securities hearing holders holding company indenture individual institution investment company issued issuer limited mails material means meeting ment municipal securities necessary or appropriate notice offer officer operations organization otherwise outstanding paragraph participant payment period person prescribe principal prior proceeding proposed protection of investors provisions public interest purchase pursuant reasonable records registered relating request Reserve respect rules and regulations securities dealer securities exchange sion SIPC specified statement subparagraph subsection term thereof thereunder tion trading transactions transfer trustee underwriter United unless violation voting