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.
5. lappuse
... statement " means the statement provided for in section 6 , and includes any amendment thereto and any report , document , or memorandum filed as part of such statement or incorporated therein by reference . ( 9 ) The term " write " or ...
... statement " means the statement provided for in section 6 , and includes any amendment thereto and any report , document , or memorandum filed as part of such statement or incorporated therein by reference . ( 9 ) The term " write " or ...
10. lappuse
... statement has been filed taking place prior to the expira- tion of forty days after the effective date of such registra- tion statement or prior to the expiration of forty days after the first date upon which the security was bona fide ...
... statement has been filed taking place prior to the expira- tion of forty days after the effective date of such registra- tion statement or prior to the expiration of forty days after the first date upon which the security was bona fide ...
12. lappuse
... statement has been filed as to such security , or while the registration statement is the subject of a refusal order or stop order or ( prior to the effective date of the registration statement ) any public proceeding or exami- nation ...
... statement has been filed as to such security , or while the registration statement is the subject of a refusal order or stop order or ( prior to the effective date of the registration statement ) any public proceeding or exami- nation ...
13. lappuse
... statement , or of an amendment to a registration statement , shall be deemed to have taken place upon the receipt thereof , but the filing of a regis- tration statement shall not be deemed to have taken place unless it is accompanied by ...
... statement , or of an amendment to a registration statement , shall be deemed to have taken place upon the receipt thereof , but the filing of a regis- tration statement shall not be deemed to have taken place unless it is accompanied by ...
14. lappuse
... STATEMENTS AND AMENDMENTS THERETO SEC . 8. [ 77h ] ( a ) Except as hereinafter provided , the effective date of a registration statement shall be the twentieth day after the filing thereof or such earlier date as the Commission may de ...
... STATEMENTS AND AMENDMENTS THERETO SEC . 8. [ 77h ] ( a ) Except as hereinafter provided , the effective date of a registration statement shall be the twentieth day after the filing thereof or such earlier date as the Commission may de ...
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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