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.
4. lappuse
... directly or indirectly controlling or controlled by an issuer , or under direct or indirect common control with an issuer ) and any underwriter or among underwriters who are or are to be in privity of contract with an issuer ( or any ...
... directly or indirectly controlling or controlled by an issuer , or under direct or indirect common control with an issuer ) and any underwriter or among underwriters who are or are to be in privity of contract with an issuer ( or any ...
5. lappuse
... directly or indirectly control- ling or controlled by the issuer , or any person under direct or indirect common control with the issuer . ( 12 ) The term " dealer " means any person who engages either for all or part of his time , directly ...
... directly or indirectly control- ling or controlled by the issuer , or any person under direct or indirect common control with the issuer . ( 12 ) The term " dealer " means any person who engages either for all or part of his time , directly ...
9. lappuse
... directly or indirectly for soliciting such exchange ; ( 10 ) Any security which is issued in exchange for one or more bona fide outstanding securities , claims or property inter- ests , or partly in such exchange and partly for cash ...
... directly or indirectly for soliciting such exchange ; ( 10 ) Any security which is issued in exchange for one or more bona fide outstanding securities , claims or property inter- ests , or partly in such exchange and partly for cash ...
12. lappuse
... directly or indirectly— ( 1 ) to make use of any means or instruments of transporta- tion or communication interstate commerce or of the mails to carry or transmit any prospectus relating to any security with respect to which a ...
... directly or indirectly— ( 1 ) to make use of any means or instruments of transporta- tion or communication interstate commerce or of the mails to carry or transmit any prospectus relating to any security with respect to which a ...
24. lappuse
... directly or indirectly— ( 1 ) to employ any device , scheme , or artifice to defraud , or ( 2 ) to obtain money or property by means of any untrue statement of a material fact or any omission to state a materi- al fact necessary in ...
... directly or indirectly— ( 1 ) to employ any device , scheme , or artifice to defraud , or ( 2 ) to obtain money or property by means of any untrue statement of a material fact or any omission to state a materi- al fact necessary 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