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 90.
4. lappuse
... transfer of a right or privilege , when originally issued or trans- ferred with a security , giving the holder of such security the right to convert such security into another security of the same issuer or of another person , or giving ...
... transfer of a right or privilege , when originally issued or trans- ferred with a security , giving the holder of such security the right to convert such security into another security of the same issuer or of another person , or giving ...
16. lappuse
... transfer agent , or is , or was at the time of the alleged misconduct , an associated person of , or a person seeking to beco : ne associated with , any of the foregoing . ( d ) REVIEW OF TEMPORARY ORDERS. ( 1 ) COMMISSION REVIEW ...
... transfer agent , or is , or was at the time of the alleged misconduct , an associated person of , or a person seeking to beco : ne associated with , any of the foregoing . ( d ) REVIEW OF TEMPORARY ORDERS. ( 1 ) COMMISSION REVIEW ...
50. lappuse
... transferred , loaned , or pledged by bookkeeping entry without physical delivery of securities certificates , or ( ii ) otherwise permits or facilitates the settle- ment of securities transactions or the hypothecation or lending of ...
... transferred , loaned , or pledged by bookkeeping entry without physical delivery of securities certificates , or ( ii ) otherwise permits or facilitates the settle- ment of securities transactions or the hypothecation or lending of ...
51. lappuse
... transfer , pledge , lend , or hypothecate securities . Such term does not include a person whose only use of a clearing agency is ( A ) through an- other person who is a participant or ( B ) as a pledgee of securi- ties . ( 25 ) The ...
... transfer , pledge , lend , or hypothecate securities . Such term does not include a person whose only use of a clearing agency is ( A ) through an- other person who is a participant or ( B ) as a pledgee of securi- ties . ( 25 ) The ...
53. lappuse
... transfer agent : ( i ) the Comptroller of the Currency , in the case of a national bank or a bank operating under the Code of Law for the District of Columbia , or a subsidiary of any such bank ; ( ii ) the Board of Governors of the ...
... transfer agent : ( i ) the Comptroller of the Currency , in the case of a national bank or a bank operating under the Code of Law for the District of Columbia , or a subsidiary of any such bank ; ( ii ) the Board of Governors of the ...
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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