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 3
... mails , and to prevent frauds in the sale thereof , and for other purposes . Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled , TITLE I SHORT TITLE SECTION 1. [ 77a ] This ...
... mails , and to prevent frauds in the sale thereof , and for other purposes . Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled , TITLE I SHORT TITLE SECTION 1. [ 77a ] This ...
Side 11
... MAILS SEC . 5. [ 77e ] ( a ) Unless a registration statement is in effect as to a security , it shall be unlawful for any person , directly or in- directly- ( 1 ) to make use of any means or instruments of transporta- tion or ...
... MAILS SEC . 5. [ 77e ] ( a ) Unless a registration statement is in effect as to a security , it shall be unlawful for any person , directly or in- directly- ( 1 ) to make use of any means or instruments of transporta- tion or ...
Side 12
... mails or in interstate commerce , by any means or instruments of transpor- tation , any such security for the purpose of sale or for delivery after sale . ( b ) It shall be unlawful for any person , directly or indirectly- ( 1 ) to make ...
... mails or in interstate commerce , by any means or instruments of transpor- tation , any such security for the purpose of sale or for delivery after sale . ( b ) It shall be unlawful for any person , directly or indirectly- ( 1 ) to make ...
Side 20
... mails , by means of a prospectus or oral communication , which includes an untrue statement of a material fact or omits to state a material fact necessary in order to make the state- ments , in the light of the circumstances under which ...
... mails , by means of a prospectus or oral communication , which includes an untrue statement of a material fact or omits to state a material fact necessary in order to make the state- ments , in the light of the circumstances under which ...
Side 21
... mails , directly or indirectly— ( 1 ) to employ any device , scheme , or artifice to defraud , or ( 2 ) to obtain money or property by means of any untrue statement of a material fact or any omission to state a materi- al fact necessary ...
... mails , directly or indirectly— ( 1 ) to employ any device , scheme , or artifice to defraud , or ( 2 ) to obtain money or property by means of any untrue statement of a material fact or any omission to state a materi- al fact necessary ...
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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