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.
19. lappuse
... necessary or appropriate in the public interest or for the protection of investors otherwise pro- vides , be filed as part of the registration statement but shall not be deemed a part of such registration statement for the purposes of ...
... necessary or appropriate in the public interest or for the protection of investors otherwise pro- vides , be filed as part of the registration statement but shall not be deemed a part of such registration statement for the purposes of ...
26. lappuse
... necessary and appropriate to carry out the policies , pro- visions , and purposes of this subsection . Any sums so appropriated shall remain available until expended . ( 6 ) Notwithstanding any other provision of law , neither the Com ...
... necessary and appropriate to carry out the policies , pro- visions , and purposes of this subsection . Any sums so appropriated shall remain available until expended . ( 6 ) Notwithstanding any other provision of law , neither the Com ...
65. lappuse
... necessary or appropriate in the public in- terest or for the protection of investors to require such registration . NATIONAL SECURITIES EXCHANGES SEC . 6. [ 78f ] ( a ) An exchange may be registered as a national securities exchange ...
... necessary or appropriate in the public in- terest or for the protection of investors to require such registration . NATIONAL SECURITIES EXCHANGES SEC . 6. [ 78f ] ( a ) An exchange may be registered as a national securities exchange ...
66. lappuse
... necessary or appropriate in furtherance of the purposes of this title . ( c ) ( 1 ) A national securities exchange shall deny membership to ( A ) any person , other than a natural person , which is not a regis- tered broker or dealer or ...
... necessary or appropriate in furtherance of the purposes of this title . ( c ) ( 1 ) A national securities exchange shall deny membership to ( A ) any person , other than a natural person , which is not a regis- tered broker or dealer or ...
69. lappuse
... necessary or appropriate in further- ance of the purposes of this title , taking into consideration the competitive effects of permitting such schedule or fixed rates weighed against the competitive effects of other lawful actions which ...
... necessary or appropriate in further- ance of the purposes of this title , taking into consideration the competitive effects of permitting such schedule or fixed rates weighed against the competitive effects of other lawful actions which ...
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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