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, Market Reform Act of 1990 (section 8), Penny Stock Reform Act of 1990 (sections 504(b) and 510).U.S. Government Printing Office, 1991 - 623 lappuses |
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6.–10. rezultāts no 100.
49. lappuse
... employee of such broker or dealer , except that any person associated with a broker or dealer whose functions are solely clerical or ministerial shall not be included in the meaning of such term for purposes of section 15 ( b ) of this ...
... employee of such broker or dealer , except that any person associated with a broker or dealer whose functions are solely clerical or ministerial shall not be included in the meaning of such term for purposes of section 15 ( b ) of this ...
60. lappuse
... employee of such government securities broker or government securities dealer who is engaged in the management , direction , supervision , or performance of any ac- tivities relating to government securities , and any person di- rectly ...
... employee of such government securities broker or government securities dealer who is engaged in the management , direction , supervision , or performance of any ac- tivities relating to government securities , and any person di- rectly ...
62. lappuse
... employee of any such department , establishment , or agency , acting in the course of his official duty as such , unless such provision makes specific reference to such department , establishment , or agency . ( d ) No issuer of ...
... employee of any such department , establishment , or agency , acting in the course of his official duty as such , unless such provision makes specific reference to such department , establishment , or agency . ( d ) No issuer of ...
63. lappuse
... employees as are necessary in the execution of its functions and fix their salaries in accordance with the Classification Act of 1923 , as amended . 18 ( 2 ) LEASING AUTHORITY . - Nothwithstanding any other provi- sion of law , the ...
... employees as are necessary in the execution of its functions and fix their salaries in accordance with the Classification Act of 1923 , as amended . 18 ( 2 ) LEASING AUTHORITY . - Nothwithstanding any other provi- sion of law , the ...
64. lappuse
... employee or employee board , including functions with respect to hearing , determining , ordering , certifying , report- ing , or otherwise acting as to any work , business , or matter . Noth- ing in this section shall be deemed to ...
... employee or employee board , including functions with respect to hearing , determining , ordering , certifying , report- ing , or otherwise acting as to any work , business , or matter . Noth- ing in this section shall be deemed to ...
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action amount application appropriate regulatory agency assets authority bank Board broker or dealer broker or government business development company centum certificate clearing agency Commis Commission contract court curities debtor determine directly or indirectly directors effect employee exempt face-amount certificate company Federal Reserve System filed government securities broker government securities dealer holding company indenture securities interstate commerce investment adviser issuer means or instrumentality ment municipal securities dealer national securities exchange necessary or appropriate officer outstanding paragraph participant payment penny stock 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 self-regulatory organization sion SIPC specified suant subparagraph subsection term thereof tion transactions transfer agent trustee unit investment trust United States Code unlawful unless violation