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 |
No grāmatas satura
1.–5. rezultāts no 93.
4. lappuse
... trustees or members thereof shall not be individually liable as issuers of any securi- ty issued by the association , trust , committee , or other legal entity ; except that with respect to equipment - trust certificates or like ...
... trustees or members thereof shall not be individually liable as issuers of any securi- ty issued by the association , trust , committee , or other legal entity ; except that with respect to equipment - trust certificates or like ...
7. lappuse
... trustee , executor , administra- tor , or guardian ; or any security which is an industrial devel- opment bond ( as defined in section 103 ( c ) ( 2 ) of the Internal Revenue Code of 1954 ) 4 the interest on which is excludable from ...
... trustee , executor , administra- tor , or guardian ; or any security which is an industrial devel- opment bond ( as defined in section 103 ( c ) ( 2 ) of the Internal Revenue Code of 1954 ) 4 the interest on which is excludable from ...
9. lappuse
... trustee in bank- ruptcy , with the approval of the court ; ( 8 ) Any insurance or endowment policy or annuity contract or optional annuity contract , issued by a corporation subject to the supervision of the insurance commissioner ...
... trustee in bank- ruptcy , with the approval of the court ; ( 8 ) Any insurance or endowment policy or annuity contract or optional annuity contract , issued by a corporation subject to the supervision of the insurance commissioner ...
36. lappuse
... trustees , fi- nancial agents , or dealers in foreign securities information relative to the original or present holders of foreign securities and such other information as may be required and to issue subpenas there- for ; to take over ...
... trustees , fi- nancial agents , or dealers in foreign securities information relative to the original or present holders of foreign securities and such other information as may be required and to issue subpenas there- for ; to take over ...
47. lappuse
... trustee , ex- ecutor , administrator , or guardian ; ( iv ) any interest or participation in a single trust fund , or a collective trust fund maintained by a bank , or any se- curity arising out of a contract issued by an insurance ...
... trustee , ex- ecutor , administrator , or guardian ; ( iv ) any interest or participation in a single trust fund , or a collective trust fund maintained by a bank , or any se- curity arising out of a contract issued by an insurance ...
Citi izdevumi - Skatīt visu
Bieži izmantoti vārdi un frāzes
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