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.
6. lappuse
... ment company registered under the Investment Company Act of 1940 or a business development company as defined in section 2 ( a ) ( 48 ) of that Act ; a Small Business Investment Company licensed by the Small Business Administration ; or ...
... ment company registered under the Investment Company Act of 1940 or a business development company as defined in section 2 ( a ) ( 48 ) of that Act ; a Small Business Investment Company licensed by the Small Business Administration ; or ...
9. lappuse
... ment company under the Small Business Investment Act of 1958 13 if it finds , having regard to the purposes of that Act , that the en- forcement of this Act with respect to such securities is not neces- sary in the public interest and ...
... ment company under the Small Business Investment Act of 1958 13 if it finds , having regard to the purposes of that Act , that the en- forcement of this Act with respect to such securities is not neces- sary in the public interest and ...
13. lappuse
... ment unless the Commission dispenses with such filing as impracti- cable or as involving undue hardship on the person filing the regis- tration statement . Any such registration statement shall contain such other information , and be ...
... ment unless the Commission dispenses with such filing as impracti- cable or as involving undue hardship on the person filing the regis- tration statement . Any such registration statement shall contain such other information , and be ...
15. lappuse
... ment.19 When such statement has been amended in accordance with such stop order the Commission shall so declare and there- upon the stop order shall cease to be effective . ( e ) The Commission is hereby empowered to make an examina ...
... ment.19 When such statement has been amended in accordance with such stop order the Commission shall so declare and there- upon the stop order shall cease to be effective . ( e ) The Commission is hereby empowered to make an examina ...
30. lappuse
... ment of the United States information , reports , or other documents that are now or may hereafter be required by any provision of law . SEPARABILITY OF PROVISIONS SEC . 26. [ 77z ] If any provision of this Act , or the application of ...
... ment of the United States information , reports , or other documents that are now or may hereafter be required by any provision of law . SEPARABILITY OF PROVISIONS SEC . 26. [ 77z ] If any provision of this Act , or the application 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