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.
23. lappuse
... ACTIONS SEC . 13. [ 77m ] No action shall be maintained to enforce any li- ability created under section 11 or section 12 ( 2 ) unless brought within one year after the discovery of the untrue statement or the omission , or after such ...
... ACTIONS SEC . 13. [ 77m ] No action shall be maintained to enforce any li- ability created under section 11 or section 12 ( 2 ) unless brought within one year after the discovery of the untrue statement or the omission , or after such ...
26. lappuse
... tute or will constitute a violation of the provisions of this title , or of any rule or regulation prescribed under authority thereof , the Commission may , in its discretion , bring an action Sec . 20 26 SECURITIES ACT OF 1933.
... tute or will constitute a violation of the provisions of this title , or of any rule or regulation prescribed under authority thereof , the Commission may , in its discretion , bring an action Sec . 20 26 SECURITIES ACT OF 1933.
27. lappuse
... action in any district court of the United States , or United States court of any Territory , to enjoin such acts or practices , and upon a proper showing , a per- manent or temporary injunction or restraining order shall be granted ...
... action in any district court of the United States , or United States court of any Territory , to enjoin such acts or practices , and upon a proper showing , a per- manent or temporary injunction or restraining order shall be granted ...
28. lappuse
... action in the appropriate United States district court . ( C ) REMEDY NOT EXCLUSIVE . - The actions authorized by this subsection may be brought in addition to any other action that the Commission or the Attorney General is en- titled ...
... action in the appropriate United States district court . ( C ) REMEDY NOT EXCLUSIVE . - The actions authorized by this subsection may be brought in addition to any other action that the Commission or the Attorney General is en- titled ...
64. lappuse
... action before the Commission for review . A person or party shall be entitled to review by the Commission if he or it is adversely affected by action at a delegated level which ( 1 ) denies any request for action pursuant to section 8 ...
... action before the Commission for review . A person or party shall be entitled to review by the Commission if he or it is adversely affected by action at a delegated level which ( 1 ) denies any request for action pursuant to section 8 ...
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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