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 |
Inni boken
Resultat 1-5 av 99
Side
... Indenture Act of 1939, Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970 United States, United States. Congress. House. Committee on Energy and Commerce. COMMITTEE ON ENERGY AND ...
... Indenture Act of 1939, Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970 United States, United States. Congress. House. Committee on Energy and Commerce. COMMITTEE ON ENERGY AND ...
Side 6
... Indenture Act of 1939, Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970 United States. ( 13 ) The term " insurance company " means a company which is organized as an insurance ...
... Indenture Act of 1939, Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970 United States. ( 13 ) The term " insurance company " means a company which is organized as an insurance ...
Side 21
... Indenture Act of 1939, Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970 United States. LIMITATION OF ACTIONS SEC . 13. [ 77m ] No action shall be maintained to enforce any li ...
... Indenture Act of 1939, Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970 United States. LIMITATION OF ACTIONS SEC . 13. [ 77m ] No action shall be maintained to enforce any li ...
Side 22
... Indenture Act of 1939, Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970 United States. ( 3 ) to engage in any transaction , practice , or course of busi- ness which operates or ...
... Indenture Act of 1939, Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970 United States. ( 3 ) to engage in any transaction , practice , or course of busi- ness which operates or ...
Side 30
... Indenture Act of 1939, Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor ... indentures affecting any stock , bonds , or debentures offered or to be offered . In case of certificates of deposit , voting ...
... Indenture Act of 1939, Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor ... indentures affecting any stock , bonds , or debentures offered or to be offered . In case of certificates of deposit , voting ...
Andre utgaver - Vis alle
Compilation of Securities Laws Within the Jurisdiction of the Committee on ... 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 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