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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Side 4
... person directly or indirectly controlling or controlled by an issuer , or under direct or indirect common control with an issuer ) and any underwriter or among underwriters who are or are to be in privity of contract with an issuer ( or ...
... person directly or indirectly controlling or controlled by an issuer , or under direct or indirect common control with an issuer ) and any underwriter or among underwriters who are or are to be in privity of contract with an issuer ( or ...
Side 5
... person to whom the communication was made , and ( b ) a notice , circular , advertisement , letter , or communica- tion in respect of a security shall not be deemed to be a pro- spectus if it states from whom a written prospectus ...
... person to whom the communication was made , and ( b ) a notice , circular , advertisement , letter , or communica- tion in respect of a security shall not be deemed to be a pro- spectus if it states from whom a written prospectus ...
Side 12
... person , directly or indirectly- ( 1 ) to make use of any means or instruments of transporta- tion or communication interstate commerce or of the mails to carry or transmit any prospectus relating to any security with respect to which a ...
... person , directly or indirectly- ( 1 ) to make use of any means or instruments of transporta- tion or communication interstate commerce or of the mails to carry or transmit any prospectus relating to any security with respect to which a ...
Side 17
... person who was a director of ( or person performing similar functions ) or partner in , the issuer at the time of the filing of the part of the registration statement with respect to which his liability is asserted ; ( 3 ) every person ...
... person who was a director of ( or person performing similar functions ) or partner in , the issuer at the time of the filing of the part of the registration statement with respect to which his liability is asserted ; ( 3 ) every person ...
Side 20
... person who , if sued separately , would have been liable to make the same payment , unless the person who has become liable was , and the other was not , guilty of fraudulent misrepresentation . ( g ) In no case shall the amount ...
... person who , if sued separately , would have been liable to make the same payment , unless the person who has become liable was , and the other was not , guilty of fraudulent misrepresentation . ( g ) In no case shall the amount ...
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Compilation of Securities Laws Within the Jurisdiction of the ..., Volum 4 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