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.
13. lappuse
... otherwise , shall be furnished to every applicant at such reasonable charge as the Commission may prescribe . INFORMATION REQUIRED IN REGISTRATION STATEMENT 18 SEC . 7. [ 77g ] ( a ) The registration statement , when relating to a ...
... otherwise , shall be furnished to every applicant at such reasonable charge as the Commission may prescribe . INFORMATION REQUIRED IN REGISTRATION STATEMENT 18 SEC . 7. [ 77g ] ( a ) The registration statement , when relating to a ...
18. lappuse
... otherwise permitted or re- quired pursuant to this subsection or subsections ( c ) , ( d ) , or ( e ) — ( 1 ) a prospectus relating to a security other than a security issued by a foreign government or political subdivision thereof ...
... otherwise permitted or re- quired pursuant to this subsection or subsections ( c ) , ( d ) , or ( e ) — ( 1 ) a prospectus relating to a security other than a security issued by a foreign government or political subdivision thereof ...
19. lappuse
... 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 section 11. The Commission may at any time issue an order pre- venting or suspending ...
... 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 section 11. The Commission may at any time issue an order pre- venting or suspending ...
23. lappuse
... otherwise , or who , pursuant to or in connection with an agreement or understanding with one or more other per- sons by or through stock ownership , agency , or otherwise , controls any person liable under section 11 or 12 , shall also ...
... otherwise , or who , pursuant to or in connection with an agreement or understanding with one or more other per- sons by or through stock ownership , agency , or otherwise , controls any person liable under section 11 or 12 , shall also ...
26. lappuse
... otherwise , that the provisions of this title , or of any rule or regulation prescribed under authority thereof , have been or are about to be violated , it may , in its discretion , either require or permit such person to file with it ...
... otherwise , that the provisions of this title , or of any rule or regulation prescribed under authority thereof , have been or are about to be violated , it may , in its discretion , either require or permit such person to file with it ...
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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