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 1970, 4. sējumsU.S. Government Printing Office, 1993 - 639 lappuses |
No grāmatas satura
1.–5. rezultāts no 100.
7. lappuse
... described in clause ( A ) , ( B ) , or ( C ) of this paragraph ( i ) the contributions under which are held in a single trust fund or in a separate account maintained by an insurance company for a single employer and under which an ...
... described in clause ( A ) , ( B ) , or ( C ) of this paragraph ( i ) the contributions under which are held in a single trust fund or in a separate account maintained by an insurance company for a single employer and under which an ...
8. lappuse
... described in section 501 ( c ) ( 2 ) of such Code which is exempt from tax under section 501 ( a ) of such Code and ... described in clause ( i ) or ( ii ) ; ( 6 ) Any interest in a railroad equipment trust . For pur- poses of this ...
... described in section 501 ( c ) ( 2 ) of such Code which is exempt from tax under section 501 ( a ) of such Code and ... described in clause ( i ) or ( ii ) ; ( 6 ) Any interest in a railroad equipment trust . For pur- poses of this ...
11. lappuse
... described in such subparagraph or to any insur- ance company subject to the supervision of the insurance commissioner , or any agency or officer performing like function , of any State or territory of the United States or the District ...
... described in such subparagraph or to any insur- ance company subject to the supervision of the insurance commissioner , or any agency or officer performing like function , of any State or territory of the United States or the District ...
20. lappuse
... described in the registration statement as acting or agreeing to act , and ( B ) he had advised the Commission and the issuer in writing that he had taken such action and that he would not be re- sponsible for such part of the ...
... described in the registration statement as acting or agreeing to act , and ( B ) he had advised the Commission and the issuer in writing that he had taken such action and that he would not be re- sponsible for such part of the ...
27. lappuse
... described in paragraph ( 1 ) involved fraud , deceit , manipulation , or deliberate or reckless dis- regard of a regulatory requirement . ( C ) THIRD TIER . - Notwithstanding subparagraphs ( A ) and ( B ) , the amount of penalty for ...
... described in paragraph ( 1 ) involved fraud , deceit , manipulation , or deliberate or reckless dis- regard of a regulatory requirement . ( C ) THIRD TIER . - Notwithstanding subparagraphs ( A ) and ( B ) , the amount of penalty for ...
Citi izdevumi - Skatīt visu
Bieži izmantoti vārdi un frāzes
action 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 court curities deemed determine directly or indirectly directors effect employee exempt face-amount certificate company Federal Reserve System filed foreign government securities broker government securities dealer indenture securities interstate commerce investment adviser issuer jurisdiction means or instrumentality ment municipal securities dealer national securities exchange necessary or appropriate officer pany paragraph participant payment penny stock proceeding protection of investors provisions public interest Public Utility purchase purposes pursuant to section reasonable records registered investment company registration statement respect rities rules and regulations rules or regulations secu Securities Act securities issued self-regulatory organization sion SIPC specified subparagraph subsection term thereof tion transactions transfer agent trustee underwriter unit investment trust United States Code unlawful violation
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.
15. 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...
570. 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...
108. 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...
616. lappuse - Exemption shall not be denied any such corporation because it has capital stock, if the dividend rate of such stock is fixed at not to exceed the legal rate of interest in the State of incorporation or 8...
577. 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.
170. 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.
403. 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...
242. 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.
471. lappuse - ... (8) contained in or related to examination, operating, or condition reports prepared by, on behalf of, or for the use of an agency responsible for the regulation or supervision of financial institutions; or (9) geological and geophysical information and data, including maps, concerning wells. Any reasonably segregable portion of a record shall be provided to any person requesting such record after deletion of the portions which are exempt under this subsection.