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
... authority expressly authorized by law to grant such approval ; ( 11 ) Any security which is a part of an issue offered and sold only to persons resident within a single State or Territory , where the issuer of such security is a person ...
... authority expressly authorized by law to grant such approval ; ( 11 ) Any security which is a part of an issue offered and sold only to persons resident within a single State or Territory , where the issuer of such security is a person ...
12. lappuse
... authority of the person whose signature is so affixed and the burden of proof , in the event such authority shall be denied , shall be upon the party denying the same . The affixing of any signature without the authority of the ...
... authority of the person whose signature is so affixed and the burden of proof , in the event such authority shall be denied , shall be upon the party denying the same . The affixing of any signature without the authority of the ...
15. lappuse
... AUTHORITY OF THE COMMISSION . - If the Commission finds , after notice and opportunity for hearing , that any person is violating , has violated , or is about to violate any pro- vision of this title , or any rule or regulation ...
... AUTHORITY OF THE COMMISSION . - If the Commission finds , after notice and opportunity for hearing , that any person is violating , has violated , or is about to violate any pro- vision of this title , or any rule or regulation ...
19. lappuse
... authority to classify prospectuses ac- cording to the nature and circumstances of their use or the nature of the security , issue , issuer , or otherwise , and , by rules and regula- tions and subject to such terms and conditions as it ...
... authority to classify prospectuses ac- cording to the nature and circumstances of their use or the nature of the security , issue , issuer , or otherwise , and , by rules and regula- tions and subject to such terms and conditions as it ...
21. lappuse
... authority of an expert , and not purporting to be a copy of or extract from a report or valu- ation of an expert , and not purporting to be made on the au- thority of a public official document or statement , he had , after reasonable ...
... authority of an expert , and not purporting to be a copy of or extract from a report or valu- ation of an expert , and not purporting to be made on the au- thority of a public official document or statement , he had , after reasonable ...
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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