Compilation of Securities Laws Within the Jurisdiction of the Committee on Financial Services: 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, Selected Provisions of the Gramm-Leach-Bliley Act and the Commodity Futures Modernization Act of 2000U.S. Government Printing Office, 2001 - 852 lappuses |
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1.–5. rezultāts no 100.
7. lappuse
... Commis- sion becomes aware that a registrant has filed a registration statement with respect to such a swap agreement , the Com- mission shall promptly so notify the registrant . Any such reg- istration statement with respect to such a ...
... Commis- sion becomes aware that a registrant has filed a registration statement with respect to such a swap agreement , the Com- mission shall promptly so notify the registrant . Any such reg- istration statement with respect to such a ...
10. lappuse
... commis- sioner , or any agency or officer performing like functions , of any State or Territory of the United States or the District of Columbia ; 1 ( 9 ) Except with respect to a security exchanged in a case under title 11 , any ...
... commis- sioner , or any agency or officer performing like functions , of any State or Territory of the United States or the District of Columbia ; 1 ( 9 ) Except with respect to a security exchanged in a case under title 11 , any ...
17. lappuse
... Commission , prior to the effective date of the reg- istration statement , or filed pursuant to an order of the Commis- sion , shall be treated as a part of the registration statement . ( b ) If it appears to the Commission that a ...
... Commission , prior to the effective date of the reg- istration statement , or filed pursuant to an order of the Commis- sion , shall be treated as a part of the registration statement . ( b ) If it appears to the Commission that a ...
26. lappuse
... Commis- sion shall be void . LIABILITY OF CONTROLLING PERSONS SEC . 15. [ 770 ] Every person who , by or through stock owner- ship , agency , or otherwise , or who , pursuant to or in connection with an agreement or understanding with ...
... Commis- sion shall be void . LIABILITY OF CONTROLLING PERSONS SEC . 15. [ 770 ] Every person who , by or through stock owner- ship , agency , or otherwise , or who , pursuant to or in connection with an agreement or understanding with ...
32. lappuse
... commission ( or any agency or office performing like functions ) of any State from re- quiring the filing of any document filed with the Commis- sion pursuant to this title , together with annual or periodic reports of the value of ...
... commission ( or any agency or office performing like functions ) of any State from re- quiring the filing of any document filed with the Commis- sion pursuant to this title , together with annual or periodic reports of the value of ...
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action affiliate amount application appropriate regulatory agency assets authority bank holding company Board broker or dealer business development company centum certificate clearing agency Commis Commission Commodity Exchange Act Company Act contract court deemed defined in section determines directors effect employee exempt Federal Reserve System filed financial institution foreign government securities broker Gramm-Leach-Bliley Act holders indenture securities investment adviser issuer jurisdiction ment municipal securities dealer national securities exchange necessary or appropriate pany paragraph participant payment penny stock prescribe protection of investors provisions public interest purchase purposes pursuant to section records registered investment company registration statement respect rities rule or regulation rules and regulations secu Securities Act Securities Exchange Act security futures product self-regulatory organization sion SIPC specified subparagraph subsection subsidiary term thereof tion trading transaction trustee underwriter unit investment trust United States Code unlawful violation