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.
12. lappuse
... specified therein as proposed to be offered . ( b ) At the time of filing a registration statement the applicant shall pay to the Commission a fee of one - fiftieth of 1 per centum of the maximum aggregate price at which such securities ...
... specified therein as proposed to be offered . ( b ) At the time of filing a registration statement the applicant shall pay to the Commission a fee of one - fiftieth of 1 per centum of the maximum aggregate price at which such securities ...
13. lappuse
... specified in Schedule A , and when relating to a security issued by a foreign government , or political subdivision thereof , shall contain the information , and be accompa- nied by the documents , specified in Schedule B ; except that ...
... specified in Schedule A , and when relating to a security issued by a foreign government , or political subdivision thereof , shall contain the information , and be accompa- nied by the documents , specified in Schedule B ; except that ...
16. lappuse
... specify in such order . Any such order may , as the Commission deems appropriate , require future compliance or steps to ... specified in the notice instituting proceedings pursuant to subsection ( a ) , or the continuation thereof , is ...
... specify in such order . Any such order may , as the Commission deems appropriate , require future compliance or steps to ... specified in the notice instituting proceedings pursuant to subsection ( a ) , or the continuation thereof , is ...
19. lappuse
... specified in subsection ( a ) . A prospectus per- mitted under this subsection shall , except to the extent the Com ... specify therein , to prescribe as to each class the form and contents which it may find appropriate and consistent ...
... specified in subsection ( a ) . A prospectus per- mitted under this subsection shall , except to the extent the Com ... specify therein , to prescribe as to each class the form and contents which it may find appropriate and consistent ...
22. lappuse
... specified in subsection ( a ) shall be jointly and severally liable , and every person who be- comes liable to make any payment under this section may recover contribution as in cases of contract from any person who , if sued separately ...
... specified in subsection ( a ) shall be jointly and severally liable , and every person who be- comes liable to make any payment under this section may recover contribution as in cases of contract from any person who , if sued separately ...
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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