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.
9. lappuse
... agency or officer performing like functions , of any State or Territory of the United States or the District of Columbia ; 12 ( 9 ) Any security exchanged by the issuer with its existing se- curity holders exclusively where no ...
... agency or officer performing like functions , of any State or Territory of the United States or the District of Columbia ; 12 ( 9 ) Any security exchanged by the issuer with its existing se- curity holders exclusively where no ...
26. lappuse
... agency or organization , or group referred to in section 503 of the Small Business Investment Incentive Act of 1980 , while such forum , agency , organization , or group is carrying out activities in furtherance of the provisions of ...
... agency or organization , or group referred to in section 503 of the Small Business Investment Incentive Act of 1980 , while such forum , agency , organization , or group is carrying out activities in furtherance of the provisions of ...
44. lappuse
... agency . ( 4 ) SUPPORT FROM OTHER AGENCIES . ( A ) The head of any Federal agency— ( i ) may detail employees to the Commission for the purposes of this section ; and ( ii ) shall provide to the Commission such information as it ...
... agency . ( 4 ) SUPPORT FROM OTHER AGENCIES . ( A ) The head of any Federal agency— ( i ) may detail employees to the Commission for the purposes of this section ; and ( ii ) shall provide to the Commission such information as it ...
50. lappuse
... agency " means any person who acts as an intermediary in making payments or deliveries or both in connection with transactions in securities or who pro- vides facilities for comparison of data respecting the terms of settlement of ...
... agency " means any person who acts as an intermediary in making payments or deliveries or both in connection with transactions in securities or who pro- vides facilities for comparison of data respecting the terms of settlement of ...
51. lappuse
... agency of services to its participants or the use of services of the clearing agency by its participants , unless the Commission , by rule , otherwise provides as necessary or appro- priate to assure the prompt and accurate clearance ...
... agency of services to its participants or the use of services of the clearing agency by its participants , unless the Commission , by rule , otherwise provides as necessary or appro- priate to assure the prompt and accurate clearance ...
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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