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.
9. lappuse
... hearing upon the fairness of such terms and conditions at which all persons to whom it is proposed to issue securities in such exchange shall have the right to appear , by any court , or by any official or agency of the United States ...
... hearing upon the fairness of such terms and conditions at which all persons to whom it is proposed to issue securities in such exchange shall have the right to appear , by any court , or by any official or agency of the United States ...
14. lappuse
... hearing ( at a time fixed by the Commission ) within ten days after such notice by personal service or the sending of such telegraphic notice , issue an order prior to the effective date of registration refusing to permit such statement ...
... hearing ( at a time fixed by the Commission ) within ten days after such notice by personal service or the sending of such telegraphic notice , issue an order prior to the effective date of registration refusing to permit such statement ...
15. lappuse
... hearing ( at a time fixed by the Commission ) within fifteen days after such notice by personal service or the sending of such telegraphic notice , issue a stop order suspending the effectiveness of the registration state- ment.19 When ...
... hearing ( at a time fixed by the Commission ) within fifteen days after such notice by personal service or the sending of such telegraphic notice , issue a stop order suspending the effectiveness of the registration state- ment.19 When ...
16. lappuse
... hearing , unless the Commission determines that notice and hearing prior to entry would be im- practicable or contrary to the public interest . A temporary order shall become effective upon service upon the respondent and , unless set ...
... hearing , unless the Commission determines that notice and hearing prior to entry would be im- practicable or contrary to the public interest . A temporary order shall become effective upon service upon the respondent and , unless set ...
17. lappuse
... hearing , the re- spondent may , within 10 days after the date on which the order was served , request a hearing on such application and the Commission shall hold a hearing and render a decision on such application at the earliest ...
... hearing , the re- spondent may , within 10 days after the date on which the order was served , request a hearing on such application and the Commission shall hold a hearing and render a decision on such application at the earliest ...
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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