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.
15. lappuse
... determine , having due regard to the public interest and the protec- tion of investors . ( d ) If it appears to the Commission at any time that the registra- tion statement includes any untrue statement of a material fact or omits to ...
... determine , having due regard to the public interest and the protec- tion of investors . ( d ) If it appears to the Commission at any time that the registra- tion statement includes any untrue statement of a material fact or omits to ...
16. lappuse
... determines that the alleged violation or threatened violation specified in the notice instituting proceedings pursuant to subsection ( a ) , or the continuation thereof , is likely to result in significant dissipa- tion or conversion of ...
... determines that the alleged violation or threatened violation specified in the notice instituting proceedings pursuant to subsection ( a ) , or the continuation thereof , is likely to result in significant dissipa- tion or conversion of ...
28. lappuse
... determine , any person who violated section 17 ( a ) ( 1 ) of this title from acting as an officer or director of any issuer that has a class of securities regis- tered pursuant to section 12 of the Securities Exchange Act of 1934 or ...
... determine , any person who violated section 17 ( a ) ( 1 ) of this title from acting as an officer or director of any issuer that has a class of securities regis- tered pursuant to section 12 of the Securities Exchange Act of 1934 or ...
36. lappuse
... determine and prescribe the manner in which its obligations shall be incurred and its expenses allowed and paid . SEC . 204. [ 77ee ] The board of directors may— ( 1 ) Convene meetings of holders of foreign securities . ( 2 ) Invite the ...
... determine and prescribe the manner in which its obligations shall be incurred and its expenses allowed and paid . SEC . 204. [ 77ee ] The board of directors may— ( 1 ) Convene meetings of holders of foreign securities . ( 2 ) Invite the ...
37. lappuse
... determine and regu- late the functions of such committees . The chairman and vice chairman of the board of directors shall be ex officio chairman and vice chairman of each committee . ( 4 ) Negotiate and carry out , or assist in ...
... determine and regu- late the functions of such committees . The chairman and vice chairman of the board of directors shall be ex officio chairman and vice chairman of each committee . ( 4 ) Negotiate and carry out , or assist in ...
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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