Compilation of Securities Laws Within the Jurisdiction of the Committee on Energy and Commerce: Including Securities Act of 1933, Securities Exchange Act of 1934 ...U.S. Government Printing Office, 1989 |
No grāmatas satura
1.–5. rezultāts no 56.
. lappuse
... ADVISERS ACT OF 1940 SECURITIES INVESTOR PROTECTION ACT OF 1970 Stanford Law Library , GPO Depository MARCH 1989 APR 25 1989 Printed for the use of the House Committee on Energy and Commerce 101ST CONGRESS 1st Session 93-716 } COMMITTEE ...
... ADVISERS ACT OF 1940 SECURITIES INVESTOR PROTECTION ACT OF 1970 Stanford Law Library , GPO Depository MARCH 1989 APR 25 1989 Printed for the use of the House Committee on Energy and Commerce 101ST CONGRESS 1st Session 93-716 } COMMITTEE ...
. lappuse
... ADVISERS ACT OF 1940 SECURITIES INVESTOR PROTECTION ACT OF 1970 MARCH 1989 Printed for the use of the House Committee on Energy and Commerce U.S. GOVERNMENT PRINTING OFFICE WASHINGTON : 1989 For sale by the Superintendent of Documents ...
... ADVISERS ACT OF 1940 SECURITIES INVESTOR PROTECTION ACT OF 1970 MARCH 1989 Printed for the use of the House Committee on Energy and Commerce U.S. GOVERNMENT PRINTING OFFICE WASHINGTON : 1989 For sale by the Superintendent of Documents ...
. lappuse
... Advisers Act of 1940 . Securities Investor Protection Act of 1970 . Appendix : Title 5 , United States Code , Sections 551-557 , 704–706 .. Commodity Exchange Act , Sections 2 , 4m ( 7 Ú.S.C. 2 , 2a , 6m ) . Title 11 , United States ...
... Advisers Act of 1940 . Securities Investor Protection Act of 1970 . Appendix : Title 5 , United States Code , Sections 551-557 , 704–706 .. Commodity Exchange Act , Sections 2 , 4m ( 7 Ú.S.C. 2 , 2a , 6m ) . Title 11 , United States ...
6. lappuse
... adviser ; or ( ii ) any person who , on the basis of such factors as finan- cial sophistication , net worth , knowledge , and experience in financial matters , or amount of assets under manage- ment qualifies as an accredited investor ...
... adviser ; or ( ii ) any person who , on the basis of such factors as finan- cial sophistication , net worth , knowledge , and experience in financial matters , or amount of assets under manage- ment qualifies as an accredited investor ...
45. lappuse
... adviser " and " underwriter " have the same meanings as in the Investment Advisers Act of 1940 . ( 21 ) The term " persons associated with a member " or " asso- ciated person of a member " when used with respect to a member of a ...
... adviser " and " underwriter " have the same meanings as in the Investment Advisers Act of 1940 . ( 21 ) The term " persons associated with a member " or " asso- ciated person of a member " when used with respect to a member of a ...
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Bieži izmantoti vārdi un frāzes
amount application appropriate regulatory agency assets authority bank Board broker or dealer business development company centum certificate clearing agency Commis Commission Commodity Exchange Act contract corporation court curities debtor determine directly or indirectly directors effect employee exempt face-amount certificate company Federal Federal Reserve System filed government securities broker holding company indenture securities interstate commerce investment adviser issuer mails means or instrumentality ment municipal securities dealer national securities exchange necessary or appropriate officer outstanding paragraph participant payment 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 security holders self-regulatory organization sion SIPC specified suant subparagraph subsection term tion transactions transfer agent trustee unit investment trust United States Code unlawful unless violation 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.
392. lappuse - Treasury is authorized and directed to purchase any notes and other obligations issued hereunder and for that purpose he is authorized to use as a public debt transaction the proceeds from the sale of any securities issued under the Second Liberty Bond Act...
13. lappuse - If either party shall apply to the court for leave to adduce additional evidence and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for...
512. lappuse - Whoever, having devised or intending to devise any scheme or artifice to defraud, or for obtaining money or property by means of false or fraudulent pretenses, representations, or promises...
452. lappuse - Every party shall have the right to present his case or defense by oral or documentary evidence, to submit rebuttal evidence, and to conduct such cross-examination as may be required for a full and true disclosure of the facts.
519. 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.
149. lappuse - Territory or other place subject to the jurisdiction of the United States, to enjoin such acts or practices, and upon a proper showing a permanent or temporary injunction or restraining order shall be; granted without bond.
171. 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. All process in any such case may be served in the judicial district whereof such person is an inhabitant or wherever he may be found.
421. 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...
69. 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...