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 |
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1.–5. rezultāts no 100.
10. lappuse
... period , instead of forty days , shall be ninety days , or such shorter period as the Commission may specify by rules and regulations or order . ( 4 ) brokers ' transactions executed upon customers ' orders on any exchange or in the ...
... period , instead of forty days , shall be ninety days , or such shorter period as the Commission may specify by rules and regulations or order . ( 4 ) brokers ' transactions executed upon customers ' orders on any exchange or in the ...
18. lappuse
... period of at least twelve months beginning after the effective date of the registration statement , then the right of recovery under this subsection shall be conditioned on proof that such person ac- quired the security relying upon ...
... period of at least twelve months beginning after the effective date of the registration statement , then the right of recovery under this subsection shall be conditioned on proof that such person ac- quired the security relying upon ...
52. lappuse
... period not exceeding twelve months , or revoking his regis- tration as a broker , dealer , municipal securities dealer , government securities broker , or government securities dealer , or barring or suspending for a period not ...
... period not exceeding twelve months , or revoking his regis- tration as a broker , dealer , municipal securities dealer , government securities broker , or government securities dealer , or barring or suspending for a period not ...
66. lappuse
... period any such member , broker , or dealer to maintain a credit initially extended in conformity with the rules and ... periods , from the operation of this subsection and the rules and regulations thereunder . ( e ) The provisions of ...
... period any such member , broker , or dealer to maintain a credit initially extended in conformity with the rules and ... periods , from the operation of this subsection and the rules and regulations thereunder . ( e ) The provisions of ...
67. lappuse
... , or within such shorter period as the Board of Governors of the Federal Reserve System may prescribe by rule or regulation . RESTRICTIONS ON BORROWING BY MEMBERS , BROKERS , AND DEALERS 67 Sec . 7 SECURITIES EXCHANGE ACT OF 1934.
... , or within such shorter period as the Board of Governors of the Federal Reserve System may prescribe by rule or regulation . RESTRICTIONS ON BORROWING BY MEMBERS , BROKERS , AND DEALERS 67 Sec . 7 SECURITIES EXCHANGE ACT OF 1934.
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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...