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 6
... EXEMPTED SECURITIES 3 SEC . 3. [ 77c ] ( a ) Except as hereinafter expressly provided , the provisions of this title ... exemptions contained at : 7 U.S.C. 1932 ( d ) ( 6 ) ; 12 U.S.C. 1455 , 1717 , 1719 , 1723c ; 15 U.S.C. 77c , note ...
... EXEMPTED SECURITIES 3 SEC . 3. [ 77c ] ( a ) Except as hereinafter expressly provided , the provisions of this title ... exemptions contained at : 7 U.S.C. 1932 ( d ) ( 6 ) ; 12 U.S.C. 1455 , 1717 , 1719 , 1723c ; 15 U.S.C. 77c , note ...
Side 8
... exempt from the provisions of section 5 of this title any interest or participation issued in connection with a ... exempt from tax under section 521 of the Internal Reve- nue Code of 1954,10 ( ii ) a corporation described in section 501 ...
... exempt from the provisions of section 5 of this title any interest or participation issued in connection with a ... exempt from tax under section 521 of the Internal Reve- nue Code of 1954,10 ( ii ) a corporation described in section 501 ...
Side 9
... exempt- ed as provided in this section , if it finds that the enforcement of this title with respect to such ... exempted under this subsec- tion where the aggregate amount at which such issue is offered to the public exceeds $ 5,000,000 ...
... exempt- ed as provided in this section , if it finds that the enforcement of this title with respect to such ... exempted under this subsec- tion where the aggregate amount at which such issue is offered to the public exceeds $ 5,000,000 ...
Side 10
... EXEMPTED TRANSACTIONS 14 SEC . 4. [ 77d ] The provisions of section 5 shall not apply to— ( 1 ) transactions by any ... exemption contained at 11 U.S.C. 1145. [ Printed in appendix to this volume . ] 15 But see section 14 ( d ) of the ...
... EXEMPTED TRANSACTIONS 14 SEC . 4. [ 77d ] The provisions of section 5 shall not apply to— ( 1 ) transactions by any ... exemption contained at 11 U.S.C. 1145. [ Printed in appendix to this volume . ] 15 But see section 14 ( d ) of the ...
Side 23
... exemption of securities issues applied for in the various States ; ( B ) the development and maintenance of uniform securities forms and procedures ; and ( C ) the development of a uniform exemption from registra- tion for small issuers ...
... exemption of securities issues applied for in the various States ; ( B ) the development and maintenance of uniform securities forms and procedures ; and ( C ) the development of a uniform exemption from registra- tion for small issuers ...
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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