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 1970U.S. Government Printing Office, 1987 - 534 lappuses |
No grāmatas satura
1.–5. rezultāts no 55.
7. lappuse
... Reserve bank ; or any interest or participation in any common trust fund or similar fund maintained by a bank exclusively for the collec- tive investment and reinvestment of assets contributed thereto by such bank in its capacity as ...
... Reserve bank ; or any interest or participation in any common trust fund or similar fund maintained by a bank exclusively for the collec- tive investment and reinvestment of assets contributed thereto by such bank in its capacity as ...
39. lappuse
... Reserve System , and to insure the maintenance of fair and honest markets in such transactions : ( 1 ) Such transactions ( a ) are carried on in large volume by the public generally and in large part originate outside the States in ...
... Reserve System , and to insure the maintenance of fair and honest markets in such transactions : ( 1 ) Such transactions ( a ) are carried on in large volume by the public generally and in large part originate outside the States in ...
41. lappuse
... Reserve System , ( C ) any other banking institu- tion , whether incorporated or not , doing business under the laws of any State or of the United States , a substantial portion of the business of which consists of receiving deposits or ...
... Reserve System , ( C ) any other banking institu- tion , whether incorporated or not , doing business under the laws of any State or of the United States , a substantial portion of the business of which consists of receiving deposits or ...
45. lappuse
... Reserve bank , Federal home loan bank , or Federal land bank ; ( ii ) any national securities exchange or registered securi- ties association solely by reason of its providing facilities for comparison of data respecting the terms of ...
... Reserve bank , Federal home loan bank , or Federal land bank ; ( ii ) any national securities exchange or registered securi- ties association solely by reason of its providing facilities for comparison of data respecting the terms of ...
48. lappuse
... Reserve System , in the case of a State member bank of the Federal Reserve System , a subsidiary or a department or division thereof , a bank holding company , a subsidi- ary of a bank holding company which is a bank other than a bank ...
... Reserve System , in the case of a State member bank of the Federal Reserve System , a subsidiary or a department or division thereof , a bank holding company , a subsidi- ary of a bank holding company which is a bank other than a bank ...
Citi izdevumi - Skatīt visu
Bieži izmantoti vārdi un frāzes
amended amount application appropriate regulatory agency assets bank Board broker or dealer broker or government business development company centum clearing agency Commis Commodity Exchange Act contract corporation court curities debtor determine directly or indirectly directors employee face-amount certificate company Federal Federal Reserve System filed government securities broker government securities dealer holding company indenture securities interstate commerce investment adviser issuer loan mails means or instrumentality ment municipal securities dealer national securities exchange necessary or appropriate officer opportunity for hearing otherwise paragraph participation payment person associated proceeding protection of investors provisions public interest purchase purposes pursuant to section reasonable registered investment company registration statement respect rule or regulation rules and regulations secu Securities Act securities issued security holders self-regulatory organization sion SIPC specified subparagraph subsection term tion transactions trustee unit investment trust United United States Code unlawful unless voting securities
Populāri fragmenti
1. 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.
55. lappuse - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange...
391. lappuse - ... means the whole or a part of an agency statement of general or particular applicability and future effect designed to implement, interpret, or prescribe law or policy or describing the organization, procedure, or .practice requirements of an agency and includes the approval or prescription for the future of rates, wages, corporate or financial structures or reorganizations thereof, prices, facilities, appliances, services or allowances therefor or of valuations, costs, or accounting, or practices...
482. lappuse - States, and such guaranty shall be expressed on the face thereof, and such bonds shall be lawful investments, and may be accepted as security for all fiduciary, trust, and public funds, the investment or deposit of which shall be under the authority or control of the United States or any officer or officers thereof.
393. lappuse - Each agency, in accordance with published rules, shall make available for public inspection and copying — (A) final opinions, including concurring and dissenting opinions, as well as orders, made in the adjudication of cases; (B) those statements of policy and interpretations which have been adopted by the agency and are not published in the Federal Register...
337. lappuse - ... or any rule or regulation thereunder or any undertaking contained in a registration statement as provided in subsection (d) of Section 15 of this title, which statement 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...
14. lappuse - Whenever it shall appear to the Commission that any person is engaged or about to engage in any acts or practices which constitute or will constitute a violation...
190. lappuse - No provision of this title imposing any liability shall apply to any act done or omitted in good faith in conformity with any rule, regulation, or order of the Commission, notwithstanding that such rule, regulation, or order may, after such act or omission, be amended or rescinded or be determined by judicial or other authority to be invalid for any reason.
12. lappuse - It shall be unlawful for any person in the offer or sale of any securities by the use of any means or instruments of transportation or communication in interstate commerce or by the use of the mails, directly or indirectly — (1) to employ any device, scheme, or artifice to defraud...
244. lappuse - ... such undertaking, or participates or has a participation in the direct or indirect underwriting of any such undertaking; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary distributor's or seller's commission. As used in this paragraph the term "issuer...