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.
17. lappuse
... rules , regulations , and orders concern- ing payments to investors , rates of interest , periods of accrual , and such other matters as it deems appropriate to implement this sub- section . COURT REVIEW OF ORDERS SEC . 9. [ 771 ] ( a ) ...
... rules , regulations , and orders concern- ing payments to investors , rates of interest , periods of accrual , and such other matters as it deems appropriate to implement this sub- section . COURT REVIEW OF ORDERS SEC . 9. [ 771 ] ( a ) ...
19. lappuse
... rules or regulations deemed nec- essary or appropriate in the public interest or for the protection of investors permit the use of a prospectus for the purposes of subsec- tion ( b ) ( 1 ) of section 5 which omits in part or summarizes ...
... rules or regulations deemed nec- essary or appropriate in the public interest or for the protection of investors permit the use of a prospectus for the purposes of subsec- tion ( b ) ( 1 ) of section 5 which omits in part or summarizes ...
43. lappuse
... LAWS STUDY . ( a ) FINDINGS . - The Congress finds that- ( 1 ) recent disclosures of securities fraud and insider trading have caused public concern about the adequacy of Federal securities laws , rules , and regulations ; ( 2 ) Federal ...
... LAWS STUDY . ( a ) FINDINGS . - The Congress finds that- ( 1 ) recent disclosures of securities fraud and insider trading have caused public concern about the adequacy of Federal securities laws , rules , and regulations ; ( 2 ) Federal ...
44. lappuse
... rules , and regulations , such personnel as the Commission deems advisable to carry out such study and investigation and to fix their respective rates of compensation without regard to such laws , rules , and regulations , but no such ...
... rules , and regulations , such personnel as the Commission deems advisable to carry out such study and investigation and to fix their respective rates of compensation without regard to such laws , rules , and regulations , but no such ...
46. lappuse
... 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 ) , and 21 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 ) , and 21 of this title , the ...
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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