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.
12. lappuse
... principal financial officer , its comptroller or principal ac- counting officer , and the majority of its board of directors or per- sons performing similar functions ( or , if there is no board of direc- tors or persons performing ...
... principal financial officer , its comptroller or principal ac- counting officer , and the majority of its board of directors or per- sons performing similar functions ( or , if there is no board of direc- tors or persons performing ...
17. lappuse
... principal place of business , or in the United States Court of Appeals for the District of Columbia , by filing in such Court ; within sixty days after the entry of such order , a written pe- tition praying that the order of the ...
... principal place of business , or in the United States Court of Appeals for the District of Columbia , by filing in such Court ; within sixty days after the entry of such order , a written pe- tition praying that the order of the ...
32. lappuse
... principal underwriters of such security ; ( 20 ) any amount paid within two years preceding the filing of the registration statement or intended to be paid to any promoter and the consideration for any such payment ; ( 21 ) the names ...
... principal underwriters of such security ; ( 20 ) any amount paid within two years preceding the filing of the registration statement or intended to be paid to any promoter and the consideration for any such payment ; ( 21 ) the names ...
35. lappuse
... principal office of the Corporation shall be located in the District of Columbia , but there may be established agencies or branch offices in any city or cities of the United States under rules and regulations prescribed by the board of ...
... principal office of the Corporation shall be located in the District of Columbia , but there may be established agencies or branch offices in any city or cities of the United States under rules and regulations prescribed by the board of ...
37. lappuse
... principal or interest and determine and regu- late the functions of such committees . The chairman and vice chairman of the board of directors shall be ex officio chairman and vice chairman of each committee . ( 4 ) Negotiate and carry ...
... principal or interest and determine and regu- late the functions of such committees . The chairman and vice chairman of the board of directors shall be ex officio chairman and vice chairman of each committee . ( 4 ) Negotiate and carry ...
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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