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 |
No grāmatas satura
1.–5. rezultāts no 100.
5. lappuse
... public interest and for the protection of investors , and subject to such terms and conditions as may be prescribed therein , may permit . ( 11 ) The term " underwriter " means any person who has pur- chased from an issuer with a view ...
... public interest and for the protection of investors , and subject to such terms and conditions as may be prescribed therein , may permit . ( 11 ) The term " underwriter " means any person who has pur- chased from an issuer with a view ...
8. lappuse
... public interest and consistent with the protection of investors and the pur- poses fairly intended by the policy and provisions of this title . For purposes of this paragraph , a security issued or guaranteed by a bank shall not include ...
... public interest and consistent with the protection of investors and the pur- poses fairly intended by the policy and provisions of this title . For purposes of this paragraph , a security issued or guaranteed by a bank shall not include ...
9. lappuse
... public interest and for the protection of investors by reason of the small amount involved or the limited character of the public offer- ing ; but no issue of securities shall be exempted under this subsec- tion where the aggregate ...
... public interest and for the protection of investors by reason of the small amount involved or the limited character of the public offer- ing ; but no issue of securities shall be exempted under this subsec- tion where the aggregate ...
14. lappuse
... public interest or for the protection of inves- tors- ( A ) require such issuers to provide timely disclosure , prior to or after such statement becomes effective under section 8 , of ( i ) information regarding the company to be ...
... public interest or for the protection of inves- tors- ( A ) require such issuers to provide timely disclosure , prior to or after such statement becomes effective under section 8 , of ( i ) information regarding the company to be ...
16. lappuse
... public interest , including , but not lim- ited to , losses to the Securities Investor Protection Corporation , prior to the completion of the proceedings , the Commission may enter a temporary order requiring the respondent to cease ...
... public interest , including , but not lim- ited to , losses to the Securities Investor Protection Corporation , prior to the completion of the proceedings , the Commission may enter a temporary order requiring the respondent to cease ...
Citi izdevumi - Skatīt visu
Bieži izmantoti vārdi un frāzes
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