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 64.
12. lappuse
... participant in the distribution of such securi- ties by the issuer or by or through an underwriter . With respect to transactions referred to in clause ( B ) , if securi- ties of the issuer have not previously been sold pursuant to an ...
... participant in the distribution of such securi- ties by the issuer or by or through an underwriter . With respect to transactions referred to in clause ( B ) , if securi- ties of the issuer have not previously been sold pursuant to an ...
75. lappuse
... participant therein in connection with the furnishing by the clearing agency of services to its participants or the use of services of the clearing agency by its participants , unless the Commission , by rule , otherwise provides as ...
... participant therein in connection with the furnishing by the clearing agency of services to its participants or the use of services of the clearing agency by its participants , unless the Commission , by rule , otherwise provides as ...
78. lappuse
... participant or appli- cant to become a participant in a clearing agency or a per- son requesting or having access to services offered by a clearing agency : ( i ) the Comptroller of the Currency , in the case of a national bank or a ...
... participant or appli- cant to become a participant in a clearing agency or a per- son requesting or having access to services offered by a clearing agency : ( i ) the Comptroller of the Currency , in the case of a national bank or a ...
94. lappuse
... participants in the Commission's professional fellows pro- grams may pay such participants their actual expenses for reloca- tion to Washington , District of Columbia , to facilitate their partici- pation in such programs , and program ...
... participants in the Commission's professional fellows pro- grams may pay such participants their actual expenses for reloca- tion to Washington , District of Columbia , to facilitate their partici- pation in such programs , and program ...
142. lappuse
... participant in any transaction having such purpose or effect . ( 6 ) The provisions of this subsection shall not apply to ( A ) any acquisition or offer to acquire securities made or proposed to be made by means of a registration ...
... participant in any transaction having such purpose or effect . ( 6 ) The provisions of this subsection shall not apply to ( A ) any acquisition or offer to acquire securities made or proposed to be made by means of a registration ...
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action affiliate amended amount application appropriate regulatory agency assets authority bank holding company Board broker or dealer business development company centum certificate clearing agency Commission Commodity Commodity Exchange 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 securities issued 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 violation
Populāri fragmenti
3. 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.
20. 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...
30. lappuse - ... (1) to employ any device, scheme, or artifice to defraud, or (2) to obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading, or (3) to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser.
3. lappuse - When used in this title, unless the context otherwise requires (1) the term "security" means any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas, or other mineral rights, or, in...
160. 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...
247. 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.
533. 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...
71. lappuse - equity security" means any stock or similar security; or any security convertible, with or without consideration, into such a security, or carrying any warrant or right to subscribe to or purchase such a security; or any such warrant or right; or any other security which the...
423. lappuse - ... such undertaking, or participates or has a participation in the direct or indirect underwriting of any such undertaking; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary distributor's or seller's commission. As used in this paragraph the term "issuer...