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, Volum 4U.S. Government Printing Office, 1988 - 542 sider |
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Side 14
... Commission , prior to the effective date of the regis- tration statement , or filed pursuant to an order of the Commission , shall be treated as a part of the registration statement . ( b ) If it appears to the Commission that a ...
... Commission , prior to the effective date of the regis- tration statement , or filed pursuant to an order of the Commission , shall be treated as a part of the registration statement . ( b ) If it appears to the Commission that a ...
Side 15
... Commission be modified or be set aside in whole or in part . A copy of such petition shall be forth- with transmitted by the clerk of the court to the Commission , and thereupon the Commission shall file in the court the record upon ...
... Commission be modified or be set aside in whole or in part . A copy of such petition shall be forth- with transmitted by the clerk of the court to the Commission , and thereupon the Commission shall file in the court the record upon ...
Side 22
... commission ( or any agency or office performing like functions ) of any State or Territory of the United States , or the District of Columbia , over any security or any person . SPECIAL POWERS OF COMMISSION SEC . 19. [ 77s ] ( a ) The ...
... commission ( or any agency or office performing like functions ) of any State or Territory of the United States , or the District of Columbia , over any security or any person . SPECIAL POWERS OF COMMISSION SEC . 19. [ 77s ] ( a ) The ...
Side 24
... Commission , either upon complaint or otherwise , that the provisions of this title , or of any rule or regulation prescribed under authority thereof , have been or are about to be violated , it may , in its discretion , either require ...
... Commission , either upon complaint or otherwise , that the provisions of this title , or of any rule or regulation prescribed under authority thereof , have been or are about to be violated , it may , in its discretion , either require ...
Side 56
... Commission is authorized to appoint and fix the compen- sation of such officers , attorneys , examiners , and other experts as may be necessary for carrying out its functions under this chapter , and the Commission may , subject to the ...
... Commission is authorized to appoint and fix the compen- sation of such officers , attorneys , examiners , and other experts as may be necessary for carrying out its functions under this chapter , and the Commission may , subject to the ...
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Compilation of Securities Laws Within the Jurisdiction of the Committee on ... United States Uten tilgangsbegrensning - 1988 |
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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 face-amount certificate company Federal Reserve System filed government securities broker government securities dealer holding company indenture securities interstate commerce investment adviser issuer loan 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