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 3
... offer to sell " , " offer for sale " , or " offer " shall include every attempt or offer to dispose of , or solicitation of an offer to buy , a security or interest in a security , for value . The terms defined in this paragraph and the ...
... offer to sell " , " offer for sale " , or " offer " shall include every attempt or offer to dispose of , or solicitation of an offer to buy , a security or interest in a security , for value . The terms defined in this paragraph and the ...
Side 4
... offered and sold for value . The issue or transfer of a right or privilege , when originally issued or trans- ferred ... offer or sale of such other security ; but the issue or transfer of such other security upon the exercise of such ...
... offered and sold for value . The issue or transfer of a right or privilege , when originally issued or trans- ferred ... offer or sale of such other security ; but the issue or transfer of such other security upon the exercise of such ...
Side 5
... offers any security for sale or con- firms the sale of any security ; except that ( a ) a communication sent or given after the effective date of the registration state- ment ( other than a prospectus permitted under subsection ( b ) of ...
... offers any security for sale or con- firms the sale of any security ; except that ( a ) a communication sent or given after the effective date of the registration state- ment ( other than a prospectus permitted under subsection ( b ) of ...
Side 9
... offer- ing ; but no issue of securities shall be exempted under this subsec- tion where the aggregate amount at which such issue is offered to the public exceeds $ 5,000,000 . ( c ) The Commission may from time to time by its rules and ...
... offer- ing ; but no issue of securities shall be exempted under this subsec- tion where the aggregate amount at which such issue is offered to the public exceeds $ 5,000,000 . ( c ) The Commission may from time to time by its rules and ...
Side 10
... offer- ing . ( 3 ) transactions by a dealer ( including an underwriter no longer acting as an underwriter in respect ... offered to the public by the issuer or by or through an underwriter , ( B ) transactions in a security as to which a ...
... offer- ing . ( 3 ) transactions by a dealer ( including an underwriter no longer acting as an underwriter in respect ... offered to the public by the issuer or by or through an underwriter , ( B ) transactions in a security as to which a ...
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