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.
44. lappuse
... transactions and of practices and matters relat- ed thereto , including transactions by officers , directors , and princi- pal security holders , to require appropriate reports , to remove im- pediments to and perfect the mechanisms of ...
... transactions and of practices and matters relat- ed thereto , including transactions by officers , directors , and princi- pal security holders , to require appropriate reports , to remove im- pediments to and perfect the mechanisms of ...
45. lappuse
... transaction on an exchange ( including , among other things , any system of communication to or from the exchange ... transactions on the floor of the exchange without the services of another person acting as broker , ( ii ) any regis ...
... transaction on an exchange ( including , among other things , any system of communication to or from the exchange ... transactions on the floor of the exchange without the services of another person acting as broker , ( ii ) any regis ...
49. lappuse
... transactions in or quotations for any security ( other than an exempted security ) or ( ii ) distribut- ing or publishing ( whether by means of a ticker tape , a com- munications network , a terminal display device , or otherwise ) on a ...
... transactions in or quotations for any security ( other than an exempted security ) or ( ii ) distribut- ing or publishing ( whether by means of a ticker tape , a com- munications network , a terminal display device , or otherwise ) on a ...
50. lappuse
... transactions in securities or who pro- vides facilities for comparison of data respecting the terms of settlement of securities transactions , to reduce the number of settlements of securities transactions , or for the allocation of ...
... transactions in securities or who pro- vides facilities for comparison of data respecting the terms of settlement of securities transactions , to reduce the number of settlements of securities transactions , or for the allocation of ...
51. lappuse
... transactions or to prevent evasion of this title ; ( iv ) any life insurance company , its registered separate accounts , or a subsidiary of such insurance company solely by reason of functions commonly performed by such entities in ...
... transactions or to prevent evasion of this title ; ( iv ) any life insurance company , its registered separate accounts , or a subsidiary of such insurance company solely by reason of functions commonly performed by such entities in ...
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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