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.
8. lappuse
... extent that the Commission deter- mines this to be necessary or appropriate in the public interest and consistent with the protection of investors and the pur- poses fairly intended by the policy and provisions of this title . For ...
... extent that the Commission deter- mines this to be necessary or appropriate in the public interest and consistent with the protection of investors and the pur- poses fairly intended by the policy and provisions of this title . For ...
18. lappuse
... extent otherwise permitted or re- quired pursuant to this subsection or subsections ( c ) , ( d ) , or ( e ) ( 1 ) a prospectus relating to a security other than a security issued by a foreign government or political subdivision ...
... extent otherwise permitted or re- quired pursuant to this subsection or subsections ( c ) , ( d ) , or ( e ) ( 1 ) a prospectus relating to a security other than a security issued by a foreign government or political subdivision ...
19. lappuse
... extent the Com- mission by rules or regulations deemed necessary or appropriate in the public interest or for the protection of investors otherwise pro- vides , be filed as part of the registration statement but shall not be deemed a ...
... extent the Com- mission by rules or regulations deemed necessary or appropriate in the public interest or for the protection of investors otherwise pro- vides , be filed as part of the registration statement but shall not be deemed a ...
32. lappuse
... extent of the interest , if any , of every director , principal executive officer , and of every stockholder holding more than 10 per centum of any class of stock or more than 10 per centum in the aggregate of the stock of the issuer ...
... extent of the interest , if any , of every director , principal executive officer , and of every stockholder holding more than 10 per centum of any class of stock or more than 10 per centum in the aggregate of the stock of the issuer ...
46. lappuse
... extent of the rules of the exchange specified by the Commission , any person required by the Commission to comply with such rules pursuant to section 6 ( f ) of this title . ( B ) The term " member " when used with respect to a regis ...
... extent of the rules of the exchange specified by the Commission , any person required by the Commission to comply with such rules pursuant to section 6 ( f ) of this title . ( B ) The term " member " when used with respect to a regis ...
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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