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 6
... pursuant to the laws of any State or territory of the United States , the Dis- trict of Columbia , or of Canada or any province thereof , under which income , gains and losses , whether or not realized , from assets allocated to such ...
... pursuant to the laws of any State or territory of the United States , the Dis- trict of Columbia , or of Canada or any province thereof , under which income , gains and losses , whether or not realized , from assets allocated to such ...
Side 11
... pursuant to sections 203 and 21116 of the National Housing Act and are offered or sold subject to the three ... pursuant to any such contract is one of the parties described in subparagraph ( A ) ( i ) or ( A ) ( ii ) who may originate ...
... pursuant to sections 203 and 21116 of the National Housing Act and are offered or sold subject to the three ... pursuant to any such contract is one of the parties described in subparagraph ( A ) ( i ) or ( A ) ( ii ) who may originate ...
Side 41
... pursuant to section 6 ( f ) of this title . ( B ) The term " member " when used with respect to a regis- tered securities association means any broker or dealer who agrees to be regulated by such association and with respect to whom the ...
... pursuant to section 6 ( f ) of this title . ( B ) The term " member " when used with respect to a regis- tered securities association means any broker or dealer who agrees to be regulated by such association and with respect to whom the ...
Side 53
... pursuant to sections 203 and 211 of the National Housing Act , 12 or , where such notes involve a lien on the manufactured home , by any such institution or by any financial institution approved for insurance by the Secretary of Housing ...
... pursuant to sections 203 and 211 of the National Housing Act , 12 or , where such notes involve a lien on the manufactured home , by any such institution or by any financial institution approved for insurance by the Secretary of Housing ...
Side 55
... pursuant to section 15 or 15B of this title , except that in paragraph ( 3 ) of this sub- section and sections 6 and 15A the term means such a broker or dealer and a government securities broker or government securities dealer ...
... pursuant to section 15 or 15B of this title , except that in paragraph ( 3 ) of this sub- section and sections 6 and 15A the term means such a broker or dealer and a government securities broker or government securities dealer ...
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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