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.
11. lappuse
... subparagraph ( A ) ( i ) to any institu- tion described in such subparagraph or to any insurance company subject to ... sub- paragraph ( A ) ( i ) or ( A ) ( ii ) hereof involving non - assignable con- tracts to buy or sell the foregoing ...
... subparagraph ( A ) ( i ) to any institu- tion described in such subparagraph or to any insurance company subject to ... sub- paragraph ( A ) ( i ) or ( A ) ( ii ) hereof involving non - assignable con- tracts to buy or sell the foregoing ...
14. lappuse
... subparagraph ( A ) have been made ; and ( C ) provide a right of rescission to shareholders of such secu- rities . ( 2 ) The Commission may , as it determines consistent with the public interest and the protection of investors , by rule ...
... subparagraph ( A ) have been made ; and ( C ) provide a right of rescission to shareholders of such secu- rities . ( 2 ) The Commission may , as it determines consistent with the public interest and the protection of investors , by rule ...
27. lappuse
... subparagraph ( A ) , the amount of penalty for each such violation shall not exceed the greater of ( i ) $ 50,000 for a natural person or $ 250,000 for any other person , or ( ii ) the gross amount of pecuniary gain to such defendant as ...
... subparagraph ( A ) , the amount of penalty for each such violation shall not exceed the greater of ( i ) $ 50,000 for a natural person or $ 250,000 for any other person , or ( ii ) the gross amount of pecuniary gain to such defendant as ...
47. lappuse
... contract , voting - trust certificate , certificate of depos- it , for a security , any put , call , straddle , option ... subparagraph ( C ) of this paragraph ; and ( v ) such other securities ( which may include 47 Sec . 3 SECURITIES ...
... contract , voting - trust certificate , certificate of depos- it , for a security , any put , call , straddle , option ... subparagraph ( C ) of this paragraph ; and ( v ) such other securities ( which may include 47 Sec . 3 SECURITIES ...
48. lappuse
... subparagraph ( A ) ( i ) of this paragraph , government securities shall not be deemed to be " exempted se- curities " for the purposes of section 17A of this title . ( ii ) Notwithstanding subparagraph ( A ) ( ii ) of this paragraph ...
... subparagraph ( A ) ( i ) of this paragraph , government securities shall not be deemed to be " exempted se- curities " for the purposes of section 17A of this title . ( ii ) Notwithstanding subparagraph ( A ) ( ii ) of this paragraph ...
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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