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 82.
3. lappuse
... certificate of interest or participation in any profit - sharing agreement , col- lateral - trust certificate , preorganization certificate or subscrip- tion , transferable share , investment contract , voting - trust cer- tificate , ...
... certificate of interest or participation in any profit - sharing agreement , col- lateral - trust certificate , preorganization certificate or subscrip- tion , transferable share , investment contract , voting - trust cer- tificate , ...
4. lappuse
... certificates , or collateral - trust cer- tificates , or with respect to certificates of interest or shares in an unincorporated investment trust not having a board of di- rectors ( or persons performing similar functions ) or of the ...
... certificates , or collateral - trust cer- tificates , or with respect to certificates of interest or shares in an unincorporated investment trust not having a board of di- rectors ( or persons performing similar functions ) or of the ...
7. lappuse
... certificate of deposit for any of the foregoing ; or any security issued or guaranteed by any bank ; or any security issued by or representing an in- terest in or a direct obligation of a Federal Reserve bank ; or any interest or ...
... certificate of deposit for any of the foregoing ; or any security issued or guaranteed by any bank ; or any security issued by or representing an in- terest in or a direct obligation of a Federal Reserve bank ; or any interest or ...
9. lappuse
... Certificates issued by a receiver or by a trustee in bank- ruptcy , with the approval of the court ; ( 8 ) Any insurance or endowment policy or annuity contract or optional annuity contract , issued by a corporation subject to the ...
... Certificates issued by a receiver or by a trustee in bank- ruptcy , with the approval of the court ; ( 8 ) Any insurance or endowment policy or annuity contract or optional annuity contract , issued by a corporation subject to the ...
34. lappuse
... certificates of deposit , voting trust certificates , collater- al trust certificates , certificates of interest or shares in unincorpo- rated investment trusts , equipment trust certificates , interim or other receipts for certificates ...
... certificates of deposit , voting trust certificates , collater- al trust certificates , certificates of interest or shares in unincorpo- rated investment trusts , equipment trust certificates , interim or other receipts for certificates ...
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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