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 1970U.S. Government Printing Office, 1988 - 542 sider |
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Side 10
... participant in the distribution of such securi- ties by the issuer or by or through an underwriter . 15 With respect to transactions referred to in clause ( B ) , if securi- ties of the issuer have not previously been sold pursuant to ...
... participant in the distribution of such securi- ties by the issuer or by or through an underwriter . 15 With respect to transactions referred to in clause ( B ) , if securi- ties of the issuer have not previously been sold pursuant to ...
Side 46
... 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 ...
Side 48
... participant or applicant to become a participant in a clearing agency or a person requesting or having access to services offered by a clear- Sec . 3 48 SECURITIES EXCHANGE ACT OF 1934.
... participant or applicant to become a participant in a clearing agency or a person requesting or having access to services offered by a clear- Sec . 3 48 SECURITIES EXCHANGE ACT OF 1934.
Side 89
... 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 pro- posed 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 pro- posed to be made by means of a registration ...
Side 130
... participant upon the request of such person , such other self - regulatory organization , or the Commission . ( e ) ( 1 ) ( A ) Every registered broker or dealer shall annually file with the Commission a balance sheet and income ...
... participant upon the request of such person , such other self - regulatory organization , or the Commission . ( e ) ( 1 ) ( A ) Every registered broker or dealer shall annually file with the Commission a balance sheet and income ...
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Compilation of Securities Laws Within the Jurisdiction of the ..., Volum 4 United States Uten tilgangsbegrensning - 1988 |
Vanlige uttrykk og setninger
amount application appropriate regulatory agency assets bank Board broker or dealer broker or government business development company centum clearing agency Commis Commission Commodity Exchange Act contract corporation 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 mails means or instrumentality ment municipal securities dealer national securities exchange necessary or appropriate officer otherwise paragraph participant payment person associated proceeding protection of investors provisions public interest purchase purposes pursuant to section reasonable registered investment company registration statement respect rule or regulation rules and regulations secu Securities Act securities issued security holders self-regulatory organization sion SIPC specified subparagraph subsection term tion transactions transfer agent trustee unit investment trust United States Code unlawful voting securities
Populære avsnitt
Side 263 - ... 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.
Side 15 - 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...
Side 491 - 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...
Side 434 - Every party shall have the right to present his case or defense by oral or documentary evidence, to submit rebuttal evidence, and to conduct such cross-examination as may be required for a full and true disclosure of the facts.
Side 497 - 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.
Side 154 - 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.
Side 409 - Each agency, in accordance with published rules, shall make available for public inspection and copying — (A) final opinions, including concurring and dissenting opinions, as well as orders, made in the adjudication of cases; (B) those statements of policy and interpretations which have been adopted by the agency and are not published in the Federal Register...
Side 74 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails or of any facility of any national securities exchange...
Side 24 - Whenever it shall appear to the Commission that any person is engaged or about to engage in any acts or practices which constitute or will constitute a violation...
Side 214 - 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.