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.
15. lappuse
... thereunder , the Com- mission may publish its findings and enter an order requiring such person , and any other person that is , was , or would be a cause of 19 See also section 14 ( a ) of the Investment Company Act of 1940 , infra ...
... thereunder , the Com- mission may publish its findings and enter an order requiring such person , and any other person that is , was , or would be a cause of 19 See also section 14 ( a ) of the Investment Company Act of 1940 , infra ...
43. lappuse
... thereunder for the protection of the public interest and the interests of investors . ( 2 ) REQUIRED SUBJECTS FOR STUDY AND INVESTIGATION . - Such study and investigation shall include an analysis of- ( A ) the extent of improper ...
... thereunder for the protection of the public interest and the interests of investors . ( 2 ) REQUIRED SUBJECTS FOR STUDY AND INVESTIGATION . - Such study and investigation shall include an analysis of- ( A ) the extent of improper ...
46. lappuse
... 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 term " member " when ...
... 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 term " member " when ...
65. lappuse
... thereunder , and the rules of the exchange . ( 2 ) Subject to the provisions of subsection ( c ) of this section , the rules of the exchange provide that any registered broker or dealer or natural person associated with a registered ...
... thereunder , and the rules of the exchange . ( 2 ) Subject to the provisions of subsection ( c ) of this section , the rules of the exchange provide that any registered broker or dealer or natural person associated with a registered ...
66. lappuse
... thereunder , or the rules of the exchange , by expulsion , suspension , limita- tion of activities , functions , and operations , fine , censure , being suspended or barred from being associated with a member , or any other fitting ...
... thereunder , or the rules of the exchange , by expulsion , suspension , limita- tion of activities , functions , and operations , fine , censure , being suspended or barred from being associated with a member , or any other fitting ...
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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