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 99.
16. lappuse
... proceedings pursuant to subsection ( a ) shall fix a hearing date not earlier than 30 days nor later than 60 days ... proceeding . Such an order shall be entered only after notice and opportunity for a hearing , unless the Commission ...
... proceedings pursuant to subsection ( a ) shall fix a hearing date not earlier than 30 days nor later than 60 days ... proceeding . Such an order shall be entered only after notice and opportunity for a hearing , unless the Commission ...
17. lappuse
... proceedings under paragraph ( 2 ) of this subsec- tion shall not , unless specifically ordered by the court , operate as ... proceeding under sub- section ( a ) , the Commission may enter an order requiring account- ing and disgorgement ...
... proceedings under paragraph ( 2 ) of this subsec- tion shall not , unless specifically ordered by the court , operate as ... proceeding under sub- section ( a ) , the Commission may enter an order requiring account- ing and disgorgement ...
28. lappuse
... proceeding under subsection ( b ) , the court may prohibit , conditionally or unconditionally , and permanently or for such period of time as it shall determine , any person who violated section 17 ( a ) ( 1 ) of this title from acting ...
... proceeding under subsection ( b ) , the court may prohibit , conditionally or unconditionally , and permanently or for such period of time as it shall determine , any person who violated section 17 ( a ) ( 1 ) of this title from acting ...
57. lappuse
... proceeding before a self - regulatory organization , any statement which was at the time , and in the light of the circumstances under which it was made , false or misleading with respect to any material fact , or has omitted to state ...
... proceeding before a self - regulatory organization , any statement which was at the time , and in the light of the circumstances under which it was made , false or misleading with respect to any material fact , or has omitted to state ...
67. lappuse
... proceeding by a national securities exchange to de- termine whether a member or person associated with a member should be disciplined ( other than a summary proceeding pursuant to paragraph ( 3 ) of this subsection ) , the exchange ...
... proceeding by a national securities exchange to de- termine whether a member or person associated with a member should be disciplined ( other than a summary proceeding pursuant to paragraph ( 3 ) of this subsection ) , the exchange ...
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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