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 94.
12. lappuse
... applicant shall pay to the Commission a fee of one - fiftieth of 1 per centum of the maximum aggregate price at which such securities are pro- posed to be offered , but in no case shall Sec . 6 12 SECURITIES ACT OF 1933.
... applicant shall pay to the Commission a fee of one - fiftieth of 1 per centum of the maximum aggregate price at which such securities are pro- posed to be offered , but in no case shall Sec . 6 12 SECURITIES ACT OF 1933.
31. lappuse
... centum in the aggregate of such options ; ( 11 ) the amount of capital stock of each class issued or included in the shares of stock to be offered ; ( 12 ) the amount of the funded debt outstanding and to be created by the security to ...
... centum in the aggregate of such options ; ( 11 ) the amount of capital stock of each class issued or included in the shares of stock to be offered ; ( 12 ) the amount of the funded debt outstanding and to be created by the security to ...
32. lappuse
... centum of any class of stock or more than 10 per centum in the aggregate of the stock of the issuer , in any property acquired , not in the ordinary course of busi- ness of the issuer , within two years preceding the filing of the reg ...
... centum of any class of stock or more than 10 per centum in the aggregate of the stock of the issuer , in any property acquired , not in the ordinary course of busi- ness of the issuer , within two years preceding the filing of the reg ...
37. lappuse
... centum of the securities deposited with the Corpora- tion shall be obtained . ( 5 ) Undertake , superintend , or take part in the collection and application of funds derived from foreign securities which come into the possession of or ...
... centum of the securities deposited with the Corpora- tion shall be obtained . ( 5 ) Undertake , superintend , or take part in the collection and application of funds derived from foreign securities which come into the possession of or ...
38. lappuse
... centum of the face value of such securities : Pro- vided further , That any additional charges shall bear a close rela- tionship to the cost of operations and negotiations including those enumerated in sections 203 and 204 and shall not ...
... centum of the face value of such securities : Pro- vided further , That any additional charges shall bear a close rela- tionship to the cost of operations and negotiations including those enumerated in sections 203 and 204 and shall not ...
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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