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.
26. lappuse
... provisions of this subsection ; or ( B ) any forum , agency or 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 ...
... provisions of this subsection ; or ( B ) any forum , agency or 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 ...
30. lappuse
... provision of law . SEPARABILITY OF PROVISIONS SEC . 26. [ 77z ] If any provision of this Act , or the application of such provision to any person or circumstance , shall be held invalid , the remainder of this Act , or the application ...
... provision of law . SEPARABILITY OF PROVISIONS SEC . 26. [ 77z ] If any provision of this Act , or the application of such provision to any person or circumstance , shall be held invalid , the remainder of this Act , or the application ...
46. lappuse
... provisions of this title , the rules and regulations thereunder , and its own rules . For purposes of sections 6 ( b ) ( 1 ) , 6 ( b ) ( 4 ) , 6 ( b ) ( 6 ) , 6 ( b ) ( 7 ) , 6 ( d ) , 17 ( d ) , 19 ( d ) , 19 ( e ) , 19 ( g ) , 19 ( h ) ...
... provisions of this title , the rules and regulations thereunder , and its own rules . For purposes of sections 6 ( b ) ( 1 ) , 6 ( b ) ( 4 ) , 6 ( b ) ( 6 ) , 6 ( b ) ( 7 ) , 6 ( d ) , 17 ( d ) , 19 ( d ) , 19 ( e ) , 19 ( g ) , 19 ( h ) ...
64. lappuse
... provisions of section 556 ( b ) of title 5 , or to authorize the delegation of the func- tion of rulemaking as defined in subchapter II of chapter 5 title 5 , United States Code , with reference to general rules as distin- guished from ...
... provisions of section 556 ( b ) of title 5 , or to authorize the delegation of the func- tion of rulemaking as defined in subchapter II of chapter 5 title 5 , United States Code , with reference to general rules as distin- guished from ...
65. lappuse
... provisions of this title , the rules and regulations thereunder , and the rules of the exchange . ( 2 ) Subject to the provisions of subsection ( c ) of this section , the rules of the exchange provide that any registered broker or ...
... provisions of this title , the rules and regulations thereunder , and the rules of the exchange . ( 2 ) Subject to the provisions of subsection ( c ) of this section , the rules of the exchange provide that any registered broker or ...
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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