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.
5. lappuse
... notice , cir- cular , advertisement , letter , or communication , written or by radio or television , which offers any security for sale or con- firms the sale of any security ; except that ( a ) a communication sent or given after the ...
... notice , cir- cular , advertisement , letter , or communication , written or by radio or television , which offers any security for sale or con- firms the sale of any security ; except that ( a ) a communication sent or given after the ...
14. lappuse
... notice by personal service or the sending of confirmed telegraphic notice not later than ten days after the filing of the registration statement , and opportunity for hearing ( at a time fixed by the Commission ) within ten days after ...
... notice by personal service or the sending of confirmed telegraphic notice not later than ten days after the filing of the registration statement , and opportunity for hearing ( at a time fixed by the Commission ) within ten days after ...
15. lappuse
... notice by personal service or the sending of con- firmed telegraphic notice , and after opportunity for hearing ( at a time fixed by the Commission ) within fifteen days after such notice by personal service or the sending of such ...
... notice by personal service or the sending of con- firmed telegraphic notice , and after opportunity for hearing ( at a time fixed by the Commission ) within fifteen days after such notice by personal service or the sending of such ...
16. lappuse
... notice instituting proceedings pursuant to subsection ( a ) shall fix a hearing date not earlier than 30 days nor later than 60 days after service of the notice unless an earlier or a later date is set by the Commission with the consent ...
... notice instituting proceedings pursuant to subsection ( a ) shall fix a hearing date not earlier than 30 days nor later than 60 days after service of the notice unless an earlier or a later date is set by the Commission with the consent ...
19. lappuse
... notice of the issuance of such order and op- portunity for hearing by personal service or the sending of con- firmed telegraphic notice . The Commission shall vacate or modify the order at any time for good cause or if such prospectus ...
... notice of the issuance of such order and op- portunity for hearing by personal service or the sending of con- firmed telegraphic notice . The Commission shall vacate or modify the order at any time for good cause or if such prospectus ...
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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