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
... amount involved or the limited character of the public offer- ing ; but no issue of securities shall be exempted under this subsec- tion where the aggregate amount at which such issue is offered to the public exceeds $ 5,000,000 . ( c ) ...
... amount involved or the limited character of the public offer- ing ; but no issue of securities shall be exempted under this subsec- tion where the aggregate amount at which such issue is offered to the public exceeds $ 5,000,000 . ( c ) ...
22. lappuse
... amount paid for the security ( not exceeding the price at which the security was offered to the public ) and ( 1 ) the value thereof as of the time such suit was brought , or ( 2 ) the price at which such secu- rity shall have been ...
... amount paid for the security ( not exceeding the price at which the security was offered to the public ) and ( 1 ) the value thereof as of the time such suit was brought , or ( 2 ) the price at which such secu- rity shall have been ...
27. lappuse
... AMOUNT OF PENALTY.— ( A ) FIRST TIER . - The amount of the penalty shall be de- termined by the court in light of the facts and circum- stances . For each violation , the amount of the penalty shall not exceed the greater of ( i ) ...
... AMOUNT OF PENALTY.— ( A ) FIRST TIER . - The amount of the penalty shall be de- termined by the court in light of the facts and circum- stances . For each violation , the amount of the penalty shall not exceed the greater of ( i ) ...
31. lappuse
... amount of the funded debt outstanding and to be created by the security to be offered , with a brief description of ... amount of such commission paid to each underwriter shall be stated ; ( 18 ) the amount or estimated amounts ...
... amount of the funded debt outstanding and to be created by the security to be offered , with a brief description of ... amount of such commission paid to each underwriter shall be stated ; ( 18 ) the amount or estimated amounts ...
32. lappuse
... amount paid within two years preceding the filing of the registration statement or intended to be paid to any promoter and the consideration for any such payment ; ( 21 ) the names and addresses of the vendors and the purchase price of ...
... amount paid within two years preceding the filing of the registration statement or intended to be paid to any promoter and the consideration for any such payment ; ( 21 ) the names and addresses of the vendors and the purchase price of ...
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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