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.
28. lappuse
... records thereof shall be kept . JURISDICTION OF OFFENSES AND SUITS SEC . 22. [ 77v ] ( a ) The district courts of the United States and United States courts of any Territory shall have jurisdiction of of- fenses and violations under ...
... records thereof shall be kept . JURISDICTION OF OFFENSES AND SUITS SEC . 22. [ 77v ] ( a ) The district courts of the United States and United States courts of any Territory shall have jurisdiction of of- fenses and violations under ...
37. lappuse
... records of foreign external securities in default and records of the progress made toward the payment of past - due obligations . ( 7 ) Take such steps as it may deem expedient with the view of securing the adoption of clear and simple ...
... records of foreign external securities in default and records of the progress made toward the payment of past - due obligations . ( 7 ) Take such steps as it may deem expedient with the view of securing the adoption of clear and simple ...
67. lappuse
... records to verify the accuracy of any information so sup- plied . ( 4 ) A national securities exchange may limit ( A ) ... record . A de- termination by the exchange to impose a disciplinary sanction shall be supported by a statement ...
... records to verify the accuracy of any information so sup- plied . ( 4 ) A national securities exchange may limit ( A ) ... record . A de- termination by the exchange to impose a disciplinary sanction shall be supported by a statement ...
95. lappuse
... and every issuer which is required to file reports pursuant to section 15 ( d ) of this title shall- 27 See also 16 U.S.C. 824c ( h ) . ( A ) make and keep books , records , 95 Sec . 13 SECURITIES EXCHANGE ACT OF 1934.
... and every issuer which is required to file reports pursuant to section 15 ( d ) of this title shall- 27 See also 16 U.S.C. 824c ( h ) . ( A ) make and keep books , records , 95 Sec . 13 SECURITIES EXCHANGE ACT OF 1934.
96. lappuse
... records , and accounts , which , in reasonable detail , accurately and fairly reflect the transactions and ... record , or account described in paragraph ( 2 ) . ( 6 ) Where an issuer which has a class of securities registered pur- suant ...
... records , and accounts , which , in reasonable detail , accurately and fairly reflect the transactions and ... record , or account described in paragraph ( 2 ) . ( 6 ) Where an issuer which has a class of securities registered pur- suant ...
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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