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
... issuer ( or any person directly or indirectly controlling or controlled by an issuer , or under direct or indirect common control with an issuer ) and any underwriter or among underwriters who are or are to be in privity of contract ...
... issuer ( or any person directly or indirectly controlling or controlled by an issuer , or under direct or indirect common control with an issuer ) and any underwriter or among underwriters who are or are to be in privity of contract ...
5. lappuse
... issuer in connection with , the distribution of any security , or participates or has a direct or indirect ... issuer " shall include , in addition to an issuer , any person directly or indirectly control- ling or controlled by the ...
... issuer in connection with , the distribution of any security , or participates or has a direct or indirect ... issuer " shall include , in addition to an issuer , any person directly or indirectly control- ling or controlled by the ...
10. lappuse
... issuer , under- writer , or dealer . ( 2 ) transactions by an issuer not involving any public offer- ing . ( 3 ) transactions by a dealer ( including an underwriter no longer acting as an underwriter in respect of the security in ...
... issuer , under- writer , or dealer . ( 2 ) transactions by an issuer not involving any public offer- ing . ( 3 ) transactions by a dealer ( including an underwriter no longer acting as an underwriter in respect of the security in ...
11. lappuse
... issuer or anyone acting on the issuer's behalf , and if the issuer files such notice with the Commission as the Commission shall prescribe . PROHIBITIONS RELATING TO INTERSTATE COMMERCE AND THE MAILS SEC . 5. [ 77e ] ( a ) Unless a ...
... issuer or anyone acting on the issuer's behalf , and if the issuer files such notice with the Commission as the Commission shall prescribe . PROHIBITIONS RELATING TO INTERSTATE COMMERCE AND THE MAILS SEC . 5. [ 77e ] ( a ) Unless a ...
12. lappuse
... issuer ) , and in case the issuer is a foreign or Territorial person by its duly authorized representative in the United States ; except that when such registration statement relates to a security issued by a foreign government , or ...
... issuer ) , and in case the issuer is a foreign or Territorial person by its duly authorized representative in the United States ; except that when such registration statement relates 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