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 78.
26. lappuse
... engaged or about to engage in any acts or practices which consti- tute or will constitute a violation of the provisions of this title , or of any rule or regulation prescribed under authority thereof , the Commission may , in its ...
... engaged or about to engage in any acts or practices which consti- tute or will constitute a violation of the provisions of this title , or of any rule or regulation prescribed under authority thereof , the Commission may , in its ...
44. lappuse
... engaged in interstate commerce ; ( d ) involve the use of credit , directly affect the financing of trade , industry , and transpor- tation in interstate commerce , and directly affect and influence the volume of interstate commerce ...
... engaged in interstate commerce ; ( d ) involve the use of credit , directly affect the financing of trade , industry , and transpor- tation in interstate commerce , and directly affect and influence the volume of interstate commerce ...
46. lappuse
... engaged in the business of effecting transactions in securities for the account of others , but does not include a bank . ( 5 ) The term " dealer " means any person engaged in the busi- ness of buying and selling securities for his own ...
... engaged in the business of effecting transactions in securities for the account of others , but does not include a bank . ( 5 ) The term " dealer " means any person engaged in the busi- ness of buying and selling securities for his own ...
49. lappuse
... engaged in the business of ( i ) collecting , processing , or preparing for distribution or publication , or assisting , par- ticipating in , or coordinating the distribution or publication of , information with respect to transactions ...
... engaged in the business of ( i ) collecting , processing , or preparing for distribution or publication , or assisting , par- ticipating in , or coordinating the distribution or publication of , information with respect to transactions ...
50. lappuse
... engaged in the business of collecting , processing , or preparing for distribution or publication , information with respect to transactions in or quotations for any security . ( B ) The term " exclusive processor " means any securities ...
... engaged in the business of collecting , processing , or preparing for distribution or publication , information with respect to transactions in or quotations for any security . ( B ) The term " exclusive processor " means any securities ...
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