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 59.
4. lappuse
... limited liability of any or all of its members , or in the case of a trust , committee , or other legal entity , the trustees or members thereof shall not be individually liable as issuers of any securi- ty issued by the association ...
... limited liability of any or all of its members , or in the case of a trust , committee , or other legal entity , the trustees or members thereof shall not be individually liable as issuers of any securi- ty issued by the association ...
5. lappuse
... limited to a commission from an underwriter or dealer not in excess of the usual and customary distributors ' or sellers ' commission . As used in this paragraph the term " issuer " shall include , in addition to an issuer , any person ...
... limited to a commission from an underwriter or dealer not in excess of the usual and customary distributors ' or sellers ' commission . As used in this paragraph the term " issuer " shall include , in addition to an issuer , any person ...
8. lappuse
... limited ; ( 4 ) Any security issued by a person organized and operated exclusively for religious , educational , benevolent , fraternal , charitable , or reformatory purposes and not for pecuniary profit , and no part of the net ...
... limited ; ( 4 ) Any security issued by a person organized and operated exclusively for religious , educational , benevolent , fraternal , charitable , or reformatory purposes and not for pecuniary profit , and no part of the net ...
9. lappuse
... limited character of the public offer- ing ; but no issue of securities shall be exempted under this subsec- tion where the aggregate amount at which such issue is offered to the public exceeds $ 5,000,000 . ( c ) The Commission may ...
... limited character of the public offer- ing ; but no issue of securities shall be exempted under this subsec- tion where the aggregate amount at which such issue is offered to the public exceeds $ 5,000,000 . ( c ) The Commission may ...
16. lappuse
... limited , or suspended by the Commission or a court of competent jurisdiction , shall remain effective and enforceable pending the completion of the proceedings . ( 2 ) APPLICABILITY . - This subsection shall apply only to a re ...
... limited , or suspended by the Commission or a court of competent jurisdiction , shall remain effective and enforceable pending the completion of the proceedings . ( 2 ) APPLICABILITY . - This subsection shall apply only to a re ...
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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