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 100
Side 5
... ment ( other than a prospectus permitted under subsection ( b ) of section 10 ) shall not be deemed a prospectus if it is proved that prior to or at the same time with such communication a written prospectus meeting the requirements of ...
... ment ( other than a prospectus permitted under subsection ( b ) of section 10 ) shall not be deemed a prospectus if it is proved that prior to or at the same time with such communication a written prospectus meeting the requirements of ...
Side 6
... ment company registered under the Investment Company Act of 1940 or a business development company as defined in section 2 ( a ) ( 48 ) of that Act ; a Small Business Investment Company licensed by the Small Business Administration ; or ...
... ment company registered under the Investment Company Act of 1940 or a business development company as defined in section 2 ( a ) ( 48 ) of that Act ; a Small Business Investment Company licensed by the Small Business Administration ; or ...
Side 9
... ment company under the Small Business Investment Act of 1958 13 if it finds , having regard to the purposes of that Act , that the en- forcement of this Act with respect to such securities is not neces- sary in the public interest and ...
... ment company under the Small Business Investment Act of 1958 13 if it finds , having regard to the purposes of that Act , that the en- forcement of this Act with respect to such securities is not neces- sary in the public interest and ...
Side 14
... ment is filed prior to the effective date of such statement , the regis- tration statement shall be deemed to have been filed when such amendment was filed ; except that an amendment filed with the consent of the Commission , prior to ...
... ment is filed prior to the effective date of such statement , the regis- tration statement shall be deemed to have been filed when such amendment was filed ; except that an amendment filed with the consent of the Commission , prior to ...
Side 26
... ment of the United States information , reports , or other documents that are now or may hereafter be required by any provision of law . SEPARABILITY OF PROVISIONS SEC . 26. [ 77z ] If any provision of this Act , or the application of ...
... ment of the United States information , reports , or other documents that are now or may hereafter be required by any provision of law . SEPARABILITY OF PROVISIONS SEC . 26. [ 77z ] If any provision of this Act , or the application of ...
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