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 4
... limited liability of any or all of its members , or in the case of a trust , committee , or other legal entity , the trustees or members thereof shall not be individually liable as issuers of any securi- ty issued by the association ...
... limited liability of any or all of its members , or in the case of a trust , committee , or other legal entity , the trustees or members thereof shall not be individually liable as issuers of any securi- ty issued by the association ...
Side 5
... limited to a commission from an underwriter or dealer not in excess of the usual and customary distributors ' or sellers ' commission . As used in this paragraph the term " issuer " shall include , in addition to an issuer , any person ...
... limited to a commission from an underwriter or dealer not in excess of the usual and customary distributors ' or sellers ' commission . As used in this paragraph the term " issuer " shall include , in addition to an issuer , any person ...
Side 8
... limited ; ( 4 ) Any security issued by a person organized and operated exclusively for religious , educational , benevolent , fraternal , charitable , or reformatory purposes and not for pecuniary profit , and no part of the net ...
... limited ; ( 4 ) Any security issued by a person organized and operated exclusively for religious , educational , benevolent , fraternal , charitable , or reformatory purposes and not for pecuniary profit , and no part of the net ...
Side 9
... limited character of the public offer- ing ; but no issue of securities shall be exempted under this subsec- tion where the aggregate amount at which such issue is offered to the public exceeds $ 5,000,000 . ( c ) The Commission may ...
... limited character of the public offer- ing ; but no issue of securities shall be exempted under this subsec- tion where the aggregate amount at which such issue is offered to the public exceeds $ 5,000,000 . ( c ) The Commission may ...
Side 42
... limited . ( 11 ) The term " equity security " means any stock or similar security ; or any security convertible , with or without consider- ation , into such a security , or carrying any warrant or right to subscribe to or purchase such ...
... limited . ( 11 ) The term " equity security " means any stock or similar security ; or any security convertible , with or without consider- ation , into such a security , or carrying any warrant or right to subscribe to or purchase such ...
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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