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.
12. lappuse
... violation of this title . A regis- tration statement shall be deemed effective only as to the securities specified therein as proposed to be offered . ( b ) At the time of filing a registration statement the applicant shall pay to the ...
... violation of this title . A regis- tration statement shall be deemed effective only as to the securities specified therein as proposed to be offered . ( b ) At the time of filing a registration statement the applicant shall pay to the ...
15. lappuse
... violating , has violated , or is about to violate any pro- vision of this title , or any rule or regulation thereunder , the Com- mission may publish its ... violation , due to an act or omission the 15 Sec . 8 SECURITIES ACT OF 1933.
... violating , has violated , or is about to violate any pro- vision of this title , or any rule or regulation thereunder , the Com- mission may publish its ... violation , due to an act or omission the 15 Sec . 8 SECURITIES ACT OF 1933.
16. lappuse
... violation , due to an act or omission the person knew or should have known would contribute to such violation , to cease and desist from committing or causing such violation and any future violation of the same provision , rule , or ...
... violation , due to an act or omission the person knew or should have known would contribute to such violation , to cease and desist from committing or causing such violation and any future violation of the same provision , rule , or ...
23. lappuse
... violation of section 5 , or ( 2 ) offers or sells a security ( whether or not exempted by the provisions of section 3 , other than paragraph ( 2 ) of subsection ( a ) thereof ) , by the use of any means or instruments of trans ...
... violation of section 5 , or ( 2 ) offers or sells a security ( whether or not exempted by the provisions of section 3 , other than paragraph ( 2 ) of subsection ( a ) thereof ) , by the use of any means or instruments of trans ...
26. lappuse
... violated , it may , in its discretion , either require or permit such person to file with it a statement in writing ... violation of the provisions of this title , or of any rule or regulation prescribed under authority thereof , the ...
... violated , it may , in its discretion , either require or permit such person to file with it a statement in writing ... violation of the provisions of this title , or of any rule or regulation prescribed under authority thereof , 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