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 92.
9. lappuse
... outstanding securities , claims or property inter- ests , or partly in such exchange and partly for cash , where the terms and conditions of such issuance and exchange are ap- proved , after a hearing upon the fairness of such terms and ...
... outstanding securities , claims or property inter- ests , or partly in such exchange and partly for cash , where the terms and conditions of such issuance and exchange are ap- proved , after a hearing upon the fairness of such terms and ...
30. lappuse
... outstanding stock of the issuer as of a date within twenty days prior to the filing of the registration statement ; ( 7 ) the amount of securities of the issuer held by any person spec- ified in paragraphs ( 4 ) , ( 5 ) , and ( 6 ) of ...
... outstanding stock of the issuer as of a date within twenty days prior to the filing of the registration statement ; ( 7 ) the amount of securities of the issuer held by any person spec- ified in paragraphs ( 4 ) , ( 5 ) , and ( 6 ) of ...
31. lappuse
... outstanding and to be created by the security to be offered , with a brief description of the date , maturity , and character of such debt , rate of interest , character of amortization provisions , and the security , if any , therefor ...
... outstanding and to be created by the security to be offered , with a brief description of the date , maturity , and character of such debt , rate of interest , character of amortization provisions , and the security , if any , therefor ...
34. lappuse
... outstanding and to be created by the security to be offered , excluding intergovernmental debt , and a brief descrip- tion of the date , maturity , character of such debt , rate of interest , character of amortization provisions , and ...
... outstanding and to be created by the security to be offered , excluding intergovernmental debt , and a brief descrip- tion of the date , maturity , character of such debt , rate of interest , character of amortization provisions , and ...
87. lappuse
... outstanding ; ( C ) the terms on which their securities are to be , and during the preceding three years have been , offered to the public or otherwise ; ( D ) the directors , officers , and underwriters , and each se- curity holder of ...
... outstanding ; ( C ) the terms on which their securities are to be , and during the preceding three years have been , offered to the public or otherwise ; ( D ) the directors , officers , and underwriters , and each se- curity holder 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