Laws Relating to Securities Commission, Exchanges and Holding CompaniesU.S. Government Printing Office, 1973 |
No grāmatas satura
1.5. rezultāts no 100.
v. lappuse
... Government .. 211. Effective Date ------ . 212. Short Title ..... ខ្ញុំ ៩៩៩៩ ៩៩៩ Page Public , No. 291-73d Cong . - Securities Exchange Act of 1934 , Approved June 6 , 1934 To provide for the regulation of securities ...
... Government .. 211. Effective Date ------ . 212. Short Title ..... ខ្ញុំ ៩៩៩៩ ៩៩៩ Page Public , No. 291-73d Cong . - Securities Exchange Act of 1934 , Approved June 6 , 1934 To provide for the regulation of securities ...
vi. lappuse
... rules and regulations__ ( e ) Order granting or denying application , when the filing and amendments to ... Regulation of the Use of Manipulative and Deceptive Devices_ . ( a ) Restriction against short sales and stop - loss ...
... rules and regulations__ ( e ) Order granting or denying application , when the filing and amendments to ... Regulation of the Use of Manipulative and Deceptive Devices_ . ( a ) Restriction against short sales and stop - loss ...
viii. lappuse
... Act or rules and regulations there- under , or exchange rule required thereby , void ......... 49 , 162 000000 ** ** * 48 48 48 48 49 49 ( b ) Contracts in violation of Act or rules and regulations void as to certain persons .. ( 0 ) ...
... Act or rules and regulations there- under , or exchange rule required thereby , void ......... 49 , 162 000000 ** ** * 48 48 48 48 49 49 ( b ) Contracts in violation of Act or rules and regulations void as to certain persons .. ( 0 ) ...
xi. lappuse
... Rules of Procedure . 118 809. Administrative Powers of Commission ; Rules , Regulations , and Orders____ . 118 810 ... rule or regulation thereunder " the following : " or any undertaking contained in a registration statement as ...
... Rules of Procedure . 118 809. Administrative Powers of Commission ; Rules , Regulations , and Orders____ . 118 810 ... rule or regulation thereunder " the following : " or any undertaking contained in a registration statement as ...
xii. lappuse
... rules or regulations of the Commission and the Federal Reserve Board . 9. Amendment to Section 32 of the ... regulation among over - the - counter brokers and dealers operating in interstate and foreign commerce or through ...
... rules or regulations of the Commission and the Federal Reserve Board . 9. Amendment to Section 32 of the ... regulation among over - the - counter brokers and dealers operating in interstate and foreign commerce or through ...
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Citi izdevumi - Skatīt visu
Bieži izmantoti vārdi un frāzes
amended amount application approval assets authority broker or dealer centum Commission may prescribe contract corporation court creditors debtor debtor in possession directly or indirectly District of Columbia effective date face-amount certificate face-amount certificate company Federal Reserve Board filed indenture trustee instrumentality of interstate interstate commerce investment adviser investors or consumers issuer jurisdiction liability licensee mails March 15 means or instrumentality ment national securities exchange necessary or appropriate obligor officer opportunity for hearing order thereunder otherwise pany paragraph payment petition prescribe as necessary prior proceeding prospectus protection of investors public interest public utility purchase purposes pursuant reasonable registered holding company registered investment company registration statement regulations or order regulations thereunder respect rule or regulation rules and regulations Securities Act security issued senior securities specified stockholders subsection subsidiary company thereof therein tion transactions treasury stock unit investment trust United unlawful
Populāri fragmenti
256. lappuse - Commission, there to produce records, if so ordered, or to give testimony touching the matter under investigation or in question; and any failure to obey such order of the court may be punished by such court as a contempt thereof.
27. lappuse - ... security" or any certificate of interest or participation in, temporary or interim certificate for, receipt for, guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing.
48. lappuse - Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper. The Commission may modify its findings as to the facts or make new findings, by reason of the additional evidence so taken, and...
15. lappuse - Commission or any member thereof or any officer designated by it, or in any cause, or proceeding instituted by the Commission, on the ground that the testimony or evidence, documentary or otherwise, required of him, may tend to incriminate him or subject him to a penalty or forfeiture; but no individual shall be prosecuted or subjected to any penalty or forfeiture for or on account of any transaction, matter, or thing concerning which he is compelled, after having claimed his privilege against self-incrimination...
123. lappuse - States shall have exclusive jurisdiction of violations of this Act or the rules, regulations, and orders thereunder, and of all suits in equity and actions at law brought to enforce any liability or duty created by, or to enjoin any violation of, this Act or any rule, regulation, or order thereunder.
358. lappuse - Such notes or other obligations shall bear interest at a rate determined by the Secretary of the Treasury, taking into consideration the current average market yield on outstanding marketable obligations of the United States of comparable maturities during the month preceding the issuance of the notes or other obligations. The Secretary of the Treasury may reduce the interest rate if he determines such reduction to be in the national interest.
47. lappuse - States within any circuit wherein such person resides or has his principal place of business, or in the United States Court of Appeals for the District of Columbia, by filing in such court, within sixty days after the entry of such order, a written petition praying that the order of the Commission be modified or set aside in whole or in part.
122. lappuse - States the sum of $100 for each and every day of the continuance of such failure, which forfeiture shall be payable into the Treasury of the United States, and shall be recoverable in a civil suit in the name of the United States...
14. lappuse - Commission deems it necessary or desirable, of separate and/or consolidated balance sheets or income accounts of any person directly <or indirectly controlling or controlled by the issuer, or any person under direct or indirect common control with the issuer...
299. lappuse - Commission with respect to registration, any statement which was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact...