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 12
... proceeding or exami- nation under section 8 . REGISTRATION OF SECURITIES AND SIGNING OF REGISTRATION STATEMENT SEC . 6. [ 77f ] ( a ) Any security may be registered with the Com- mission under the terms and conditions hereinafter ...
... proceeding or exami- nation under section 8 . REGISTRATION OF SECURITIES AND SIGNING OF REGISTRATION STATEMENT SEC . 6. [ 77f ] ( a ) Any security may be registered with the Com- mission under the terms and conditions hereinafter ...
Side 25
... proceeding under this title brought by or against it in the Supreme Court or such other courts . ( b ) In case of contumacy or refusal to obey a subpena issued to any person , any of the said United States courts , within the juris ...
... proceeding under this title brought by or against it in the Supreme Court or such other courts . ( b ) In case of contumacy or refusal to obey a subpena issued to any person , any of the said United States courts , within the juris ...
Side 60
... proceeding by a national securities exchange to de- termine whether a member or person associated with a member should be disciplined ( other than a summary proceeding pursuant to paragraph ( 3 ) of this subsection ) , Sec . 6 60 ...
... proceeding by a national securities exchange to de- termine whether a member or person associated with a member should be disciplined ( other than a summary proceeding pursuant to paragraph ( 3 ) of this subsection ) , Sec . 6 60 ...
Side 61
... proceeding by a national securities exchange to deter- mine whether a person shall be denied membership , barred from becoming associated with a member , or prohibited or limited with respect to access to services offered by the ...
... proceeding by a national securities exchange to deter- mine whether a person shall be denied membership , barred from becoming associated with a member , or prohibited or limited with respect to access to services offered by the ...
Side 63
... proceeding in accordance with subparagraph ( A ) of this paragraph designed to avoid unnecessary costs or delay . Such rules or rulings may ( i ) impose reasonable time limits on each in- terested person's oral presentations , and ( ii ) ...
... proceeding in accordance with subparagraph ( A ) of this paragraph designed to avoid unnecessary costs or delay . Such rules or rulings may ( i ) impose reasonable time limits on each in- terested person's oral presentations , and ( ii ) ...
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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