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 100
Side 3
... organization , or a government or political sub- division thereof . As used in this paragraph the term " trust " shall include only a trust where the interest or interests of the beneficiary or beneficiaries are evidenced by a security ...
... organization , or a government or political sub- division thereof . As used in this paragraph the term " trust " shall include only a trust where the interest or interests of the beneficiary or beneficiaries are evidenced by a security ...
Side 6
... organized as an insurance company , whose primary and pre- dominant business activity is the writing of insurance or the reinsuring of risks underwritten by insurance companies , and which is subject to supervision by the insurance ...
... organized as an insurance company , whose primary and pre- dominant business activity is the writing of insurance or the reinsuring of risks underwritten by insurance companies , and which is subject to supervision by the insurance ...
Side 8
... organized under the laws of any State , territory , or the District of Columbia , the business of which is substantially confined to banking and is supervised by the State or territorial banking commission or similar official ; except ...
... organized under the laws of any State , territory , or the District of Columbia , the business of which is substantially confined to banking and is supervised by the State or territorial banking commission or similar official ; except ...
Side 23
... organizations , agencies , and private organizations involved in capital formation shall be invited to participate . ( 5 ) For fiscal year 1982 , and for each of the three succeeding fiscal years , there are authorized to be ...
... organizations , agencies , and private organizations involved in capital formation shall be invited to participate . ( 5 ) For fiscal year 1982 , and for each of the three succeeding fiscal years , there are authorized to be ...
Side 24
... organization , or group referred to in section 503 of the Small Business Investment Incentive Act of 1980 , while such forum , agency , organization , or group is carrying out activities in furtherance of the provisions of such section ...
... organization , or group referred to in section 503 of the Small Business Investment Incentive Act of 1980 , while such forum , agency , organization , or group is carrying out activities in furtherance of the provisions of such section ...
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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