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 |
No grāmatas satura
1.–5. rezultāts no 100.
7. lappuse
... described in clause ( A ) , ( B ) , or ( C ) of this paragraph ( i ) the contributions under which are held in a single trust fund or in a separate account maintained by an insurance company for a single employer and under which an ...
... described in clause ( A ) , ( B ) , or ( C ) of this paragraph ( i ) the contributions under which are held in a single trust fund or in a separate account maintained by an insurance company for a single employer and under which an ...
8. lappuse
... described in section 501 ( c ) ( 2 ) of such Code which is exempt from tax under section 501 ( a ) of such Code and ... described in clause ( i ) or ( ii ) ; ( 6 ) Any interest in a railroad equipment trust . For purposes of this ...
... described in section 501 ( c ) ( 2 ) of such Code which is exempt from tax under section 501 ( a ) of such Code and ... described in clause ( i ) or ( ii ) ; ( 6 ) Any interest in a railroad equipment trust . For purposes of this ...
11. lappuse
... described in such subparagraph or to any insurance company subject to the supervision of the insurance com- missioner , or any agency or officer performing like func- tion , of any State or territory of the United States or the District ...
... described in such subparagraph or to any insurance company subject to the supervision of the insurance com- missioner , or any agency or officer performing like func- tion , of any State or territory of the United States or the District ...
48. lappuse
... described in clause ( i ) , ( ii ) , or ( iii ) of this subparagraph which ( I ) covers employees some or all of whom are employees within the meaning of section 401 ( c ) of such Code , or ( II ) is a plan funded by an annuity contract ...
... described in clause ( i ) , ( ii ) , or ( iii ) of this subparagraph which ( I ) covers employees some or all of whom are employees within the meaning of section 401 ( c ) of such Code , or ( II ) is a plan funded by an annuity contract ...
57. lappuse
... described in subparagraph ( A ) or ( B ) of this paragraph ; ( E ) has associated with him any person who is known , or in the exercise of reasonable care should be known , to him to be a person described by subparagraph ( A ) , ( B ) ...
... described in subparagraph ( A ) or ( B ) of this paragraph ; ( E ) has associated with him any person who is known , or in the exercise of reasonable care should be known , to him to be a person described by subparagraph ( A ) , ( B ) ...
Citi izdevumi - Skatīt visu
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