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.
11. lappuse
... pursuant to sections 203 and 21116 of the National Housing Act and are offered or sold subject to the three ... pursuant to any such contract is one of the parties described in subparagraph ( A ) ( i ) or ( A ) ( ii ) who may originate ...
... pursuant to sections 203 and 21116 of the National Housing Act and are offered or sold subject to the three ... pursuant to any such contract is one of the parties described in subparagraph ( A ) ( i ) or ( A ) ( ii ) who may originate ...
28. lappuse
... pursuant to section 12 of the Securities Exchange Act of 1934 or that is required to file reports pursuant to section 15 ( d ) of such Act if the person's conduct demonstrates substantial unfitness to serve as an officer or director of ...
... pursuant to section 12 of the Securities Exchange Act of 1934 or that is required to file reports pursuant to section 15 ( d ) of such Act if the person's conduct demonstrates substantial unfitness to serve as an officer or director of ...
46. lappuse
... pursuant to section 6 ( f ) of this title . ( B ) The term " member " when used with respect to a regis- tered securities association means any broker or dealer who agrees to be regulated by such association and with respect to whom the ...
... pursuant to section 6 ( f ) of this title . ( B ) The term " member " when used with respect to a regis- tered securities association means any broker or dealer who agrees to be regulated by such association and with respect to whom the ...
63. lappuse
... pursuant to any provision of the securities laws or any other law , the Commission may pro- vide by rule that such fee shall be paid in a manner other than in cash . ( f ) REIMBURSEMENT OF EXPENSES FOR ASSISTING FOREIGN SECURI- TIES ...
... pursuant to any provision of the securities laws or any other law , the Commission may pro- vide by rule that such fee shall be paid in a manner other than in cash . ( f ) REIMBURSEMENT OF EXPENSES FOR ASSISTING FOREIGN SECURI- TIES ...
64. lappuse
... pursuant to section 19 ( c ) of this title . ( b ) With respect to the delegation of any of its functions , as pro ... pursuant to section 8 ( a ) or section 8 ( c ) of the Securities Act of 1933 or the first sentence of section 12 ( d ) ...
... pursuant to section 19 ( c ) of this title . ( b ) With respect to the delegation of any of its functions , as pro ... pursuant to section 8 ( a ) or section 8 ( c ) of the Securities Act of 1933 or the first sentence of section 12 ( d ) ...
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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