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 66.
7. lappuse
... Reserve bank ; or any interest or participation in any common trust fund or similar fund maintained by a bank exclusively for the collec- tive investment and reinvestment of assets contributed thereto by such bank in its capacity as ...
... Reserve bank ; or any interest or participation in any common trust fund or similar fund maintained by a bank exclusively for the collec- tive investment and reinvestment of assets contributed thereto by such bank in its capacity as ...
44. lappuse
... Reserve System , and to insure the maintenance of fair and honest markets in such transactions : ( 1 ) Such transactions ( a ) are carried on in large volume by the public generally and in large part originate outside the States in ...
... Reserve System , and to insure the maintenance of fair and honest markets in such transactions : ( 1 ) Such transactions ( a ) are carried on in large volume by the public generally and in large part originate outside the States in ...
46. lappuse
... Reserve System , ( C ) any other banking institu- tion , whether incorporated or not , doing business under the laws of any State or of the United States , a substantial portion of the business of which consists of receiving deposits or ...
... Reserve System , ( C ) any other banking institu- tion , whether incorporated or not , doing business under the laws of any State or of the United States , a substantial portion of the business of which consists of receiving deposits or ...
50. lappuse
... Reserve bank , Federal home loan bank , or Federal land bank ; ( ii ) any national securities exchange or registered securi- ties association solely by reason of its providing facilities for comparison of data respecting the terms of ...
... Reserve bank , Federal home loan bank , or Federal land bank ; ( ii ) any national securities exchange or registered securi- ties association solely by reason of its providing facilities for comparison of data respecting the terms of ...
53. lappuse
... Reserve System , in the case of a State member bank of the Federal Reserve System , a subsidiary or a department or division thereof , a bank holding company , a subsidi- ary of a bank holding company which is a bank other than a bank ...
... Reserve System , in the case of a State member bank of the Federal Reserve System , a subsidiary or a department or division thereof , a bank holding company , a subsidi- ary of a bank holding company which is a bank other than a bank ...
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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