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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Resultat 1-5 av 100
Side 10
... effect as to the security ) , or such shorter period as the Commission may specify by rules and regulations or order , and ( C ) transactions as to securities constituting the whole or a part of an unsold allotment to or subscription by ...
... effect as to the security ) , or such shorter period as the Commission may specify by rules and regulations or order , and ( C ) transactions as to securities constituting the whole or a part of an unsold allotment to or subscription by ...
Side 13
... of 1940 , infra . 18 For additional information required of certain public utilities , see 16 U.S.C. 824c ( h ) . TAKING EFFECT OF REGISTRATION STATEMENTS AND AMENDMENTS THERETO SEC . 13 Sec . 8 SECURITIES ACT OF 1933.
... of 1940 , infra . 18 For additional information required of certain public utilities , see 16 U.S.C. 824c ( h ) . TAKING EFFECT OF REGISTRATION STATEMENTS AND AMENDMENTS THERETO SEC . 13 Sec . 8 SECURITIES ACT OF 1933.
Side 14
... EFFECT OF REGISTRATION STATEMENTS AND AMENDMENTS THERETO SEC . 8. [ 77h ] ( a ) Except as hereinafter provided , the effective date of a registration statement shall be the twentieth day after the filing thereof or such earlier date as ...
... EFFECT OF REGISTRATION STATEMENTS AND AMENDMENTS THERETO SEC . 8. [ 77h ] ( a ) Except as hereinafter provided , the effective date of a registration statement shall be the twentieth day after the filing thereof or such earlier date as ...
Side 25
... effect nor the fact that a stop order is not in effect with respect thereto shall be deemed a finding by the Commission that registration statement is true and accurate on its face or that it does not contain an untrue statement of fact ...
... effect nor the fact that a stop order is not in effect with respect thereto shall be deemed a finding by the Commission that registration statement is true and accurate on its face or that it does not contain an untrue statement of fact ...
Side 27
... effect ; ( 13 ) the specific purposes in detail and the approximate amounts to be devoted to such purposes , so far as determinable , for which the security to be offered is to supply funds , and if the funds are to be raised in part ...
... effect ; ( 13 ) the specific purposes in detail and the approximate amounts to be devoted to such purposes , so far as determinable , for which the security to be offered is to supply funds , and if the funds are to be raised in part ...
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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