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.
8. lappuse
... transaction or the proceeds of which have been or are to be used for current transactions , and which has a maturity at the time of issuance of not ex- ceeding nine months , exclusive of days of grace , or any renew- al thereof the ...
... transaction or the proceeds of which have been or are to be used for current transactions , and which has a maturity at the time of issuance of not ex- ceeding nine months , exclusive of days of grace , or any renew- al thereof the ...
10. lappuse
... transactions by a dealer ( including an underwriter no longer acting as an underwriter in respect of the security in- volved in such transaction ) , except- ( A ) transactions taking place prior to the expiration of forty days after the ...
... transactions by a dealer ( including an underwriter no longer acting as an underwriter in respect of the security in- volved in such transaction ) , except- ( A ) transactions taking place prior to the expiration of forty days after the ...
11. lappuse
... Transactions between any of the entities described in sub- paragraph ( A ) ( i ) or ( A ) ( ii ) hereof involving non - assignable con- tracts to buy or sell the foregoing securities which are to be completed within two years , where ...
... Transactions between any of the entities described in sub- paragraph ( A ) ( i ) or ( A ) ( ii ) hereof involving non - assignable con- tracts to buy or sell the foregoing securities which are to be completed within two years , where ...
24. lappuse
... TRANSACTIONS SEC . 17. [ 77q ] ( a ) It shall be unlawful for any person in the offer or sale of any securities by ... transaction , practice , or course of busi- ness which operates or would operate as a fraud or deceit upon the ...
... TRANSACTIONS SEC . 17. [ 77q ] ( a ) It shall be unlawful for any person in the offer or sale of any securities by ... transaction , practice , or course of busi- ness which operates or would operate as a fraud or deceit upon the ...
43. lappuse
... transactions and the nature of the securities industry have changed dramatically ; and ( 4 ) there is an important national interest in maintaining fair and orderly securities trad- ing , assuring the fairness of securities transactions ...
... transactions and the nature of the securities industry have changed dramatically ; and ( 4 ) there is an important national interest in maintaining fair and orderly securities trad- ing , assuring the fairness of securities transactions ...
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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