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 16
... appropriate in the public interest or for the protec- tion of investors . ( b ) In addition to the prospectus ... necessary or appropriate in the public interest or for the protection of investors otherwise pro- vides , be filed as part ...
... appropriate in the public interest or for the protec- tion of investors . ( b ) In addition to the prospectus ... necessary or appropriate in the public interest or for the protection of investors otherwise pro- vides , be filed as part ...
Side 17
... necessary or appropriate in the public interest or for the protection of inves- tors . ( d ) In the exercise of its powers under subsections ( a ) , ( b ) , or ( c ) , the Commission shall have authority to classify prospectuses ac ...
... necessary or appropriate in the public interest or for the protection of inves- tors . ( d ) In the exercise of its powers under subsections ( a ) , ( b ) , or ( c ) , the Commission shall have authority to classify prospectuses ac ...
Side 23
... required from any place in the United States or any Territory at any designated ... necessary , to which representatives from such securities associations ... appropriate to carry out the policies , pro- visions , and purposes of this ...
... required from any place in the United States or any Territory at any designated ... necessary , to which representatives from such securities associations ... appropriate to carry out the policies , pro- visions , and purposes of this ...
Side 58
... necessary or appropriate in the public in- terest or for the protection of investors to require such registration . NATIONAL SECURITIES EXCHANGES SEC . 6. [ 78f ] ( a ) An exchange may be registered as a national securities exchange ...
... necessary or appropriate in the public in- terest or for the protection of investors to require such registration . NATIONAL SECURITIES EXCHANGES SEC . 6. [ 78f ] ( a ) An exchange may be registered as a national securities exchange ...
Side 59
... necessary or appropriate in furtherance of the purposes of this title . ( c ) ( 1 ) A national securities exchange shall deny membership to ( A ) any person , other than a natural person , which is not a regis- tered broker or dealer or ...
... necessary or appropriate in furtherance of the purposes of this title . ( c ) ( 1 ) A national securities exchange shall deny membership to ( A ) any person , other than a natural person , which is not a regis- tered broker or dealer or ...
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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