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 63
Side 7
... obligation of a Federal Reserve bank ; or any interest or participation in any common trust fund or similar fund maintained by a bank exclusively for the collec- tive investment and reinvestment of assets contributed thereto by such ...
... obligation of a Federal Reserve bank ; or any interest or participation in any common trust fund or similar fund maintained by a bank exclusively for the collec- tive investment and reinvestment of assets contributed thereto by such ...
Side 33
... obligations shall be incurred and its expenses allowed and paid . SEC . 204. [ 77ee ] The board of directors may— ( 1 ) Convene meetings of holders of foreign securities . ( 2 ) Invite the deposit and undertake the custody of foreign ...
... obligations shall be incurred and its expenses allowed and paid . SEC . 204. [ 77ee ] The board of directors may— ( 1 ) Convene meetings of holders of foreign securities . ( 2 ) Invite the deposit and undertake the custody of foreign ...
Side 47
... obligations of , or obligations guaranteed as to princi- pal or interest by , a State or any political subdivision thereof , or any agency or instrumentality of a State or any political subdivision thereof , or any municipal corporate ...
... obligations of , or obligations guaranteed as to princi- pal or interest by , a State or any political subdivision thereof , or any agency or instrumentality of a State or any political subdivision thereof , or any municipal corporate ...
Side 53
... obligations of , or obliga- tions guaranteed as to principal or interest by , the United States ; ( B ) securities which are issued or guaranteed by corpora- tions in which the United States has a direct or indirect interest and which ...
... obligations of , or obliga- tions guaranteed as to principal or interest by , the United States ; ( B ) securities which are issued or guaranteed by corpora- tions in which the United States has a direct or indirect interest and which ...
Side 101
... obligations incumbent upon him by reason of such proce- dures and system without reasonable cause to believe that such procedures and system were not being complied with . ( F ) is subject to an order of the Commission entered pursu ...
... obligations incumbent upon him by reason of such proce- dures and system without reasonable cause to believe that such procedures and system were not being complied with . ( F ) is subject to an order of the Commission entered pursu ...
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Compilation of Securities Laws Within the Jurisdiction of the ..., Volum 4 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