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.
17. lappuse
... application and the Commission shall hold a hearing and render a decision on such application at the earliest possible time . ( 2 ) JUDICIAL REVIEW . - Within- ( A ) 10 days after the date the respondent was served with a temporary ...
... application and the Commission shall hold a hearing and render a decision on such application at the earliest possible time . ( 2 ) JUDICIAL REVIEW . - Within- ( A ) 10 days after the date the respondent was served with a temporary ...
30. lappuse
... application of such provision to any person or circumstance , shall be held invalid , the remainder of this Act , or the application of such provision to persons or circumstances other than those as to which it is held in- valid , shall ...
... application of such provision to any person or circumstance , shall be held invalid , the remainder of this Act , or the application of such provision to persons or circumstances other than those as to which it is held in- valid , shall ...
37. lappuse
... application of funds derived from foreign securities which come into the possession of or under the control or management of the Corporation . ( 6 ) Collect , preserve , publish , circulate , and render available in readily accessible ...
... application of funds derived from foreign securities which come into the possession of or under the control or management of the Corporation . ( 6 ) Collect , preserve , publish , circulate , and render available in readily accessible ...
57. lappuse
... application for membership or participation in , or to become associat- ed with a member of , such self - regulatory organization , is enjoined from any action , conduct , or practice specified in subparagraph ( C ) of such paragraph ...
... application for membership or participation in , or to become associat- ed with a member of , such self - regulatory organization , is enjoined from any action , conduct , or practice specified in subparagraph ( C ) of such paragraph ...
82. lappuse
... application for registration in such form as the Commission , by rule , may prescribe containing the address of its principal office , or offices , the names of the securities and markets for which it is then acting and for which it ...
... application for registration in such form as the Commission , by rule , may prescribe containing the address of its principal office , or offices , the names of the securities and markets for which it is then acting and for which it ...
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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