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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1.–5. rezultāts no 100.
13. lappuse
... Commission may prescribe , and copies thereof , photo- static or otherwise , shall be furnished to every applicant at such reasonable charge as the Commission may prescribe . INFORMATION REQUIRED IN REGISTRATION STATEMENT 18 SEC . 7 ...
... Commission may prescribe , and copies thereof , photo- static or otherwise , shall be furnished to every applicant at such reasonable charge as the Commission may prescribe . INFORMATION REQUIRED IN REGISTRATION STATEMENT 18 SEC . 7 ...
14. lappuse
... Commission determines necessary or appropriate in the public interest or for the protection of inves- tors- ( A ) require such issuers to provide timely disclosure , prior to or after such statement becomes effective under section 8 ...
... Commission determines necessary or appropriate in the public interest or for the protection of inves- tors- ( A ) require such issuers to provide timely disclosure , prior to or after such statement becomes effective under section 8 ...
15. lappuse
... Commission not to be incomplete or inaccurate in any material re- spect , shall become effective on such date as the Commission may determine , having due regard to the public interest and the protec- tion of investors . ( d ) If it ...
... Commission not to be incomplete or inaccurate in any material re- spect , shall become effective on such date as the Commission may determine , having due regard to the public interest and the protec- tion of investors . ( d ) If it ...
16. lappuse
... Commission may specify in such order . Any such order may , as the Commission deems appropriate , require future compliance or steps to effect future compliance , either permanently or for such period of time as the Commission may ...
... Commission may specify in such order . Any such order may , as the Commission deems appropriate , require future compliance or steps to effect future compliance , either permanently or for such period of time as the Commission may ...
17. lappuse
... Commission hearing , or ( B ) 10 days after the Commission renders a decision on an application and hearing under paragraph ( 1 ) , with re- spect to any temporary cease - and - desist order entered without a prior Commission hearing ...
... Commission hearing , or ( B ) 10 days after the Commission renders a decision on an application and hearing under paragraph ( 1 ) , with re- spect to any temporary cease - and - desist order entered without a prior Commission hearing ...
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Bieži izmantoti vārdi un frāzes
action amount application appropriate regulatory agency assets authority bank Board broker or dealer broker or government business development company centum certificate clearing agency Commis Commission contract court curities debtor determine directly or indirectly directors effect employee exempt face-amount certificate company Federal Reserve System filed government securities broker government securities dealer holding company indenture securities interstate commerce investment adviser issuer means or instrumentality ment municipal securities dealer national securities exchange necessary or appropriate officer outstanding paragraph participant payment penny stock person associated proceeding protection of investors provisions public interest purchase purposes pursuant to section reasonable registered investment company registration statement respect rules and regulations rules or regulations secu Securities Act securities issued self-regulatory organization sion SIPC specified suant subparagraph subsection term thereof tion transactions transfer agent trustee unit investment trust United States Code unlawful unless violation