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
... notice , cir- cular , advertisement , letter , or communication , written or by radio or television , which offers any security for sale or con- firms the sale of any security ; except that ( a ) a communication sent or given after the ...
... notice , cir- cular , advertisement , letter , or communication , written or by radio or television , which offers any security for sale or con- firms the sale of any security ; except that ( a ) a communication sent or given after the ...
Side 14
... notice by personal service or the sending of confirmed telegraphic notice not later than ten days after the filing of the registration statement , and opportunity for hearing ( at a time fixed by the Commission ) within ten days after ...
... notice by personal service or the sending of confirmed telegraphic notice not later than ten days after the filing of the registration statement , and opportunity for hearing ( at a time fixed by the Commission ) within ten days after ...
Side 15
... notice required under this section shall be sent to or served on the issuer , or , in case of a foreign government or political subdivision thereof , to or on the underwriter , or , in the case of a foreign or Territorial person , to or ...
... notice required under this section shall be sent to or served on the issuer , or , in case of a foreign government or political subdivision thereof , to or on the underwriter , or , in the case of a foreign or Territorial person , to or ...
Side 17
... notice of the issuance of such order and op- portunity for hearing by personal service or the sending of con- firmed telegraphic notice . The Commission shall vacate or modify the order at any time for good cause or if such prospectus ...
... notice of the issuance of such order and op- portunity for hearing by personal service or the sending of con- firmed telegraphic notice . The Commission shall vacate or modify the order at any time for good cause or if such prospectus ...
Side 18
... notice that such part of the registration statement had become effective without his knowledge ; or ( 3 ) that ( A ) as regards any part of the registration statement not purporting to be made on the authority of an expert , and not ...
... notice that such part of the registration statement had become effective without his knowledge ; or ( 3 ) that ( A ) as regards any part of the registration statement not purporting to be made on the authority of an expert , and not ...
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