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 |
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1.5. rezultāts no 100.
3. lappuse
... or interest in a security , for value . The terms defined in this paragraph and the term " offer to buy " as used in subsection ( c ) of section 5 shall not include pre- liminary negotiations or agreements between an issuer ( or any 3.
... or interest in a security , for value . The terms defined in this paragraph and the term " offer to buy " as used in subsection ( c ) of section 5 shall not include pre- liminary negotiations or agreements between an issuer ( or any 3.
4. lappuse
... issuer ( or any person directly or indirectly controlling or controlled by an issuer , or under direct or indirect common control with an issuer ) . Any security given or delivered with , or as a bonus on account of , any purchase of ...
... issuer ( or any person directly or indirectly controlling or controlled by an issuer , or under direct or indirect common control with an issuer ) . Any security given or delivered with , or as a bonus on account of , any purchase of ...
5. lappuse
... issuer in connection with , the distribution of any security , or participates or has a direct or indirect ... issuer " shall include , in addition to an issuer , any person directly or indirectly control- ling or controlled by the ...
... issuer in connection with , the distribution of any security , or participates or has a direct or indirect ... issuer " shall include , in addition to an issuer , any person directly or indirectly control- ling or controlled by the ...
9. lappuse
... issuer with its existing security holders exclusively where no commission or other re- muneration is paid or given directly or indirectly for soliciting such exchange ; ( 10 ) Any security which is issued in exchange for one or more ...
... issuer with its existing security holders exclusively where no commission or other re- muneration is paid or given directly or indirectly for soliciting such exchange ; ( 10 ) Any security which is issued in exchange for one or more ...
10. lappuse
... issuer , under- writer , or dealer . ( 2 ) transactions by an issuer not involving any public offer- ing . ( 3 ) transactions by a dealer ( including an underwriter no longer acting as an underwriter in respect of the security in ...
... issuer , under- writer , or dealer . ( 2 ) transactions by an issuer not involving any public offer- ing . ( 3 ) transactions by a dealer ( including an underwriter no longer acting as an underwriter in respect of the security in ...
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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.