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.
3. lappuse
... means any note , stock , treasury stock , bond , debenture , evidence of indebtedness , certificate of interest or participation in any profit - sharing agreement , col- lateral - trust certificate , preorganization certificate or ...
... means any note , stock , treasury stock , bond , debenture , evidence of indebtedness , certificate of interest or participation in any profit - sharing agreement , col- lateral - trust certificate , preorganization certificate or ...
4. lappuse
... means every person who issues or pro- poses to issue any security ; except that with respect to certifi- cates of deposit , voting - trust certificates , or collateral - trust cer- tificates , or with respect to certificates of interest ...
... means every person who issues or pro- poses to issue any security ; except that with respect to certifi- cates of deposit , voting - trust certificates , or collateral - trust cer- tificates , or with respect to certificates of interest ...
5. lappuse
... means trade or com- merce in securities or any transportation or communication re- lating thereto among the several States or between the District of Columbia or any Territory of the United States and any State or other Territory , or ...
... means trade or com- merce in securities or any transportation or communication re- lating thereto among the several States or between the District of Columbia or any Territory of the United States and any State or other Territory , or ...
6. lappuse
... means a company which is organized as an insurance company , whose primary and pre- dominant business activity is the writing of insurance or the reinsuring of risks underwritten by insurance companies , and which is subject to ...
... means a company which is organized as an insurance company , whose primary and pre- dominant business activity is the writing of insurance or the reinsuring of risks underwritten by insurance companies , and which is subject to ...
12. lappuse
... means or instruments of transpor- tation , any such security for the purpose of sale or for delivery after sale . ( b ) It shall be unlawful for any person , directly or indirectly ( 1 ) to make use of any means or instruments of ...
... means or instruments of transpor- tation , any such security for the purpose of sale or for delivery after sale . ( b ) It shall be unlawful for any person , directly or indirectly ( 1 ) to make use of any means or instruments of ...
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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