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 5
... agent , broker , or principal , in the business of offering , buying , selling , or otherwise dealing or trading in securities issued by another person . ( 13 ) The term " insurance company " means 5 Sec . 2 SECURITIES ACT OF 1933.
... agent , broker , or principal , in the business of offering , buying , selling , or otherwise dealing or trading in securities issued by another person . ( 13 ) The term " insurance company " means 5 Sec . 2 SECURITIES ACT OF 1933.
Side 12
... principal financial officer , its comptroller or principal ac- counting officer , and the majority of its board of directors or per- sons performing similar functions ( or , if there is no board of direc- tors or persons performing ...
... principal financial officer , its comptroller or principal ac- counting officer , and the majority of its board of directors or per- sons performing similar functions ( or , if there is no board of direc- tors or persons performing ...
Side 15
... principal place of business , or in the United States Court of Appeals for the District of Columbia , by filing in such Court , within sixty days after the entry of such order , a written pe- tition praying that the order of the ...
... principal place of business , or in the United States Court of Appeals for the District of Columbia , by filing in such Court , within sixty days after the entry of such order , a written pe- tition praying that the order of the ...
Side 26
... principal business office , and if the issuer is a foreign or territorial person , the name and address of its agent in the United States authorized to receive notice ; ( 4 ) the names and addresses of the directors or persons perform ...
... principal business office , and if the issuer is a foreign or territorial person , the name and address of its agent in the United States authorized to receive notice ; ( 4 ) the names and addresses of the directors or persons perform ...
Side 28
... principal underwriters of such security ; ( 20 ) any amount paid within two years preceding the filing of the registration statement or intended to be paid to any promoter and the consideration for any such payment ; ( 21 ) the names ...
... principal underwriters of such security ; ( 20 ) any amount paid within two years preceding the filing of the registration statement or intended to be paid to any promoter and the consideration for any such payment ; ( 21 ) the names ...
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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