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 6
... provisions of the Employee Retirement Income Security Act of 1974,2 if the investment decision is made by a plan fiduciary , as defined in section 3 ( 21 ) of such Act , which is either a bank , insur- ance company , or registered ...
... provisions of the Employee Retirement Income Security Act of 1974,2 if the investment decision is made by a plan fiduciary , as defined in section 3 ( 21 ) of such Act , which is either a bank , insur- ance company , or registered ...
Side 22
... provisions of this section . STATE CONTROL OF SECURITIES SEC . 18. [ 77r ] Nothing in this title shall affect the jurisdiction of the securities commission ( or any agency or office performing like functions ) of any State or Territory ...
... provisions of this section . STATE CONTROL OF SECURITIES SEC . 18. [ 77r ] Nothing in this title shall affect the jurisdiction of the securities commission ( or any agency or office performing like functions ) of any State or Territory ...
Side 24
... provisions of this subsection ; or ( B ) any forum , agency , or 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 ...
... provisions of this subsection ; or ( B ) any forum , agency , or 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 ...
Side 26
... provision of law . SEPARABILITY OF PROVISIONS SEC . 26. [ 77z ] If any provision of this Act , or the application of such provision to any person or circumstance , shall be held invalid , the remainder of this Act , or the application ...
... provision of law . SEPARABILITY OF PROVISIONS SEC . 26. [ 77z ] If any provision of this Act , or the application of such provision to any person or circumstance , shall be held invalid , the remainder of this Act , or the application ...
Side 41
... provisions of this title , the rules and regulations thereunder , and its own rules . For purposes of sections 6 ( b ) ( 1 ) , 6 ( b ) ( 4 ) , 6 ( b ) ( 6 ) , 6 ( b ) ( 7 ) , 6 ( d ) , 17 ( d ) , 19 ( d ) , 19 ( e ) , 19 ( g ) , 19 ( h ) ...
... provisions of this title , the rules and regulations thereunder , and its own rules . For purposes of sections 6 ( b ) ( 1 ) , 6 ( b ) ( 4 ) , 6 ( b ) ( 6 ) , 6 ( b ) ( 7 ) , 6 ( d ) , 17 ( d ) , 19 ( d ) , 19 ( e ) , 19 ( g ) , 19 ( h ) ...
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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