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
... organization , or a government or political sub- division thereof . As used in this paragraph the term " trust " shall include only a trust where the interest or interests of the beneficiary or beneficiaries are evidenced by a security ...
... organization , or a government or political sub- division thereof . As used in this paragraph the term " trust " shall include only a trust where the interest or interests of the beneficiary or beneficiaries are evidenced by a security ...
8. lappuse
... organized under the laws of any State , territory , or the District of Columbia , the business of which is substantially confined to banking and is supervised by the State or territorial banking commission or similar official ; except ...
... organized under the laws of any State , territory , or the District of Columbia , the business of which is substantially confined to banking and is supervised by the State or territorial banking commission or similar official ; except ...
26. lappuse
... organization , or group referred to in section 503 of the Small Business Investment Incentive Act of 1980 , while such forum , agency , organization , or group is carrying out activities in furtherance of the provisions of such section ...
... organization , or group referred to in section 503 of the Small Business Investment Incentive Act of 1980 , while such forum , agency , organization , or group is carrying out activities in furtherance of the provisions of such section ...
45. lappuse
... organization , associa- tion , or group of persons , whether incorporated or unincorpo- rated , which constitutes , maintains , or provides a market place or facilities for bringing together purchasers and sellers of se- curities or for ...
... organization , associa- tion , or group of persons , whether incorporated or unincorpo- rated , which constitutes , maintains , or provides a market place or facilities for bringing together purchasers and sellers of se- curities or for ...
46. lappuse
... organization , whether incorporated or unincorporated . ( 8 ) The term " issuer " means any person who issues or pro- poses to issue any security ; except that with respect to certifi- cates of deposit for securities , voting - trust ...
... organization , whether incorporated or unincorporated . ( 8 ) The term " issuer " means any person who issues or pro- poses to issue any security ; except that with respect to certifi- cates of deposit for securities , voting - trust ...
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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