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 88
Side 9
... outstanding securities , claims or property inter- ests , or partly in such exchange and partly for cash , where the terms and conditions of such issuance and exchange are ap- proved , after a hearing upon the fairness of such terms and ...
... outstanding securities , claims or property inter- ests , or partly in such exchange and partly for cash , where the terms and conditions of such issuance and exchange are ap- proved , after a hearing upon the fairness of such terms and ...
Side 26
... outstanding stock of the issuer as of a date within twenty days prior to the filing of the registration statement ; ( 7 ) the amount of securities of the issuer held by any person spec- ified in paragraphs ( 4 ) , ( 5 ) , and ( 6 ) of ...
... outstanding stock of the issuer as of a date within twenty days prior to the filing of the registration statement ; ( 7 ) the amount of securities of the issuer held by any person spec- ified in paragraphs ( 4 ) , ( 5 ) , and ( 6 ) of ...
Side 27
... outstanding amounts of its capital stock and the proportion thereof paid up , the number and classes of shares in which such capital stock is divided , par value thereof , or if it has no par value , the stated or assigned value thereof ...
... outstanding amounts of its capital stock and the proportion thereof paid up , the number and classes of shares in which such capital stock is divided , par value thereof , or if it has no par value , the stated or assigned value thereof ...
Side 30
... outstanding and to be created by the security to be offered , excluding intergovernmental debt , and a brief descrip- tion of the date , maturity , character of such debt , rate of interest , character of amortization provisions , and ...
... outstanding and to be created by the security to be offered , excluding intergovernmental debt , and a brief descrip- tion of the date , maturity , character of such debt , rate of interest , character of amortization provisions , and ...
Side 79
... outstanding ; ( C ) the terms on which their securities are to be , and during the preceding three years have been , offered to the public or otherwise ; ( D ) the directors , officers , and underwriters , and each se- curity holder of ...
... outstanding ; ( C ) the terms on which their securities are to be , and during the preceding three years have been , offered to the public or otherwise ; ( D ) the directors , officers , and underwriters , and each se- curity holder of ...
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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