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
... issued or trans- ferred with a security , giving the holder of such security the right to convert such security into another security of the same issuer or of another person , or giving a right to subscribe to another security of the ...
... issued or trans- ferred with a security , giving the holder of such security the right to convert such security into another security of the same issuer or of another person , or giving a right to subscribe to another security of the ...
7. lappuse
... issued or guaranteed by any bank ; or any security issued by or representing an in- terest in or a direct obligation of a Federal Reserve bank ; or any interest or participation in any common trust fund or similar fund maintained by a ...
... issued or guaranteed by any bank ; or any security issued by or representing an in- terest in or a direct obligation of a Federal Reserve bank ; or any interest or participation in any common trust fund or similar fund maintained by a ...
8. lappuse
... issued in connection with a stock bonus , pension , profit - sharing , or annuity plan which covers employees some or all of whom are employees within the meaning of section 401 ( c ) ( 1 ) of the Internal Revenue Code of 1954 , if and ...
... issued in connection with a stock bonus , pension , profit - sharing , or annuity plan which covers employees some or all of whom are employees within the meaning of section 401 ( c ) ( 1 ) of the Internal Revenue Code of 1954 , if and ...
9. lappuse
... issued , assumed , guaranteed by , or for the benefit of , a common carrier to finance the acquisition of rolling stock , in- cluding motive power ; ( 7 ) Certificates issued by a receiver or by a trustee in bank- ruptcy , with the ...
... issued , assumed , guaranteed by , or for the benefit of , a common carrier to finance the acquisition of rolling stock , in- cluding motive power ; ( 7 ) Certificates issued by a receiver or by a trustee in bank- ruptcy , with the ...
13. lappuse
... issued by a foreign government , or political subdivision thereof , shall contain the information , and be accompanied by the documents , specified in Schedule A , and when relating to a security issued by a foreign government , or ...
... issued by a foreign government , or political subdivision thereof , shall contain the information , and be accompanied by the documents , specified in Schedule A , and when relating to a security issued by a foreign government , or ...
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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