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.
4. lappuse
... respect to certifi- cates of deposit , voting - trust certificates , or collateral - trust cer- tificates , or with respect to certificates of interest or shares in an unincorporated investment trust not having a board of di- rectors ...
... respect to certifi- cates of deposit , voting - trust certificates , or collateral - trust cer- tificates , or with respect to certificates of interest or shares in an unincorporated investment trust not having a board of di- rectors ...
9. lappuse
... respect to such securities is not necessary in the 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 ...
... respect to such securities is not necessary in the 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 ...
20. lappuse
... respect to the statement in such registration statement , report , or valuation , which purports to have been prepared or certified by him ; ( 5 ) every underwriter with respect to such security . If such person acquired the security ...
... respect to the statement in such registration statement , report , or valuation , which purports to have been prepared or certified by him ; ( 5 ) every underwriter with respect to such security . If such person acquired the security ...
22. lappuse
... respect to the se- curity after the part of the registration statement with respect to which his liability is asserted has become effective , then for the purposes of paragraph ( 3 ) of subsection ( b ) of this section such part of the ...
... respect to the se- curity after the part of the registration statement with respect to which his liability is asserted has become effective , then for the purposes of paragraph ( 3 ) of subsection ( b ) of this section such part of the ...
35. lappuse
... respect of the sale of the security to be offered . Commissions shall include all cash , securities , con- tracts , or anything else of value , paid , to be set aside , disposed of , or understandings with or for the benefit of any ...
... respect of the sale of the security to be offered . Commissions shall include all cash , securities , con- tracts , or anything else of value , paid , to be set aside , disposed of , or understandings with or for the benefit of any ...
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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