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.
. lappuse
... Director MARGARET A. DURBIN , Minority Counsel / Staff Director CONTENTS Page Securities Act of 1933 .......... Securities Exchange Act. JAMES H. SCHEUER , New York HENRY A. WAXMAN , California PHILIP R. SHARP , Indiana EDWARD J. MARKEY ...
... Director MARGARET A. DURBIN , Minority Counsel / Staff Director CONTENTS Page Securities Act of 1933 .......... Securities Exchange Act. JAMES H. SCHEUER , New York HENRY A. WAXMAN , California PHILIP R. SHARP , Indiana EDWARD J. MARKEY ...
12. lappuse
... directors or per- sons performing similar functions ( or , if there is no board of direc- tors or persons performing similar functions , by the majority of the persons or board having the power of management of the issuer ) , and in ...
... directors or per- sons performing similar functions ( or , if there is no board of direc- tors or persons performing similar functions , by the majority of the persons or board having the power of management of the issuer ) , and in ...
20. lappuse
... director of ( or person performing similar functions ) or partner in , the issuer at the time of the filing of the part of the registration statement with respect to which his liability is asserted ; ( 3 ) every person who , with his ...
... director of ( or person performing similar functions ) or partner in , the issuer at the time of the filing of the part of the registration statement with respect to which his liability is asserted ; ( 3 ) every person who , with his ...
28. lappuse
... DIRECTORS . - In any proceeding under subsection ( b ) , the court may prohibit , conditionally or unconditionally ... director of any issuer that has a class of securities regis- tered pursuant to section 12 of the Securities Exchange ...
... DIRECTORS . - In any proceeding under subsection ( b ) , the court may prohibit , conditionally or unconditionally ... director of any issuer that has a class of securities regis- tered pursuant to section 12 of the Securities Exchange ...
30. lappuse
... directors or persons perform- ing similar functions , and the chief executive , financial and ac- counting officers , chosen or to be chosen if the issuer be a corpora- tion , association , trust , or other entity ; of all partners , if ...
... directors or persons perform- ing similar functions , and the chief executive , financial and ac- counting officers , chosen or to be chosen if the issuer be a corpora- tion , association , trust , or other entity ; of all partners , if ...
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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