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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Resultat 1-5 av 45
Side 42
... security . ( 12 ) ( A ) The term " exempted security " or " exempted securi- ties " includes- ( i ) government securities , as defined in paragraph ( 42 ) of this subsection ; ( ii ) municipal securities , as defined in paragraph ( 29 ) ...
... security . ( 12 ) ( A ) The term " exempted security " or " exempted securi- ties " includes- ( i ) government securities , as defined in paragraph ( 42 ) of this subsection ; ( ii ) municipal securities , as defined in paragraph ( 29 ) ...
Side 43
... securities shall not be deemed to be " exempted se- curities " for the purposes of section 17A of this title . ( ii ) Notwithstanding subparagraph ( A ) ( ii ) of this paragraph , municipal securities shall not be deemed to be ...
... securities shall not be deemed to be " exempted se- curities " for the purposes of section 17A of this title . ( ii ) Notwithstanding subparagraph ( A ) ( ii ) of this paragraph , municipal securities shall not be deemed to be ...
Side 46
Including Securities Act of 1933, Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, Trust ... Municipal Securities Rulemaking Board established by section 15B of this ... Sec . 3 46 SECURITIES EXCHANGE ACT OF 1934.
Including Securities Act of 1933, Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, Trust ... Municipal Securities Rulemaking Board established by section 15B of this ... Sec . 3 46 SECURITIES EXCHANGE ACT OF 1934.
Side 47
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 ... municipal securities , and 47 Sec . 3 SECURITIES EXCHANGE ACT OF 1934.
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 ... municipal securities , and 47 Sec . 3 SECURITIES EXCHANGE ACT OF 1934.
Side 48
... municipal securities investment portfolio " means all municipal securities held for investment and not for sale as part of a regular business by a municipal securities dealer or by a person , directly or indirectly , controlling , con ...
... municipal securities investment portfolio " means all municipal securities held for investment and not for sale as part of a regular business by a municipal securities dealer or by a person , directly or indirectly , controlling , con ...
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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