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.
3. lappuse
... contract , voting - trust cer- tificate , certificate of deposit for a security , fractional undivid- ed interest in oil , gas , or other mineral rights , any put , call , straddle , option , or privilege on any security , certificate ...
... contract , voting - trust cer- tificate , certificate of deposit for a security , fractional undivid- ed interest in oil , gas , or other mineral rights , any put , call , straddle , option , or privilege on any security , certificate ...
4. lappuse
... contract with an issuer ( or any person directly or indirectly controlling or controlled by an issuer , or under direct or indirect common control with an issuer ) . Any security given or delivered with , or as a bonus on account of ...
... contract with an issuer ( or any person directly or indirectly controlling or controlled by an issuer , or under direct or indirect common control with an issuer ) . Any security given or delivered with , or as a bonus on account of ...
6. lappuse
... contract , credited to or charged against such ac- count without regard to other income , gains , or losses of the insurance company . ( 15 ) The term " accredited investor " shall mean- ( i ) a bank as defined in section 3 ( a ) ( 2 ) ...
... contract , credited to or charged against such ac- count without regard to other income , gains , or losses of the insurance company . ( 15 ) The term " accredited investor " shall mean- ( i ) a bank as defined in section 3 ( a ) ( 2 ) ...
7. lappuse
... contract issued by an insurance company , which interest , participation , or security is issued in connection with ( A ) a stock bonus , pension , or profit - sharing plan which meets the requirements for qualification under section ...
... contract issued by an insurance company , which interest , participation , or security is issued in connection with ( A ) a stock bonus , pension , or profit - sharing plan which meets the requirements for qualification under section ...
8. lappuse
... contract , or other similar arrangement entered into , 926 U.S.C. 403 ( b ) . [ Printed in appendix to this volume . ] 10 26 U.S.C. 521. [ Printed in appendix to this volume . ] 11 26 U.S.C. 501 ( c ) ( 16 ) . [ Printed in appendix to ...
... contract , or other similar arrangement entered into , 926 U.S.C. 403 ( b ) . [ Printed in appendix to this volume . ] 10 26 U.S.C. 521. [ Printed in appendix to this volume . ] 11 26 U.S.C. 501 ( c ) ( 16 ) . [ Printed in appendix to ...
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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