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 24
... may be held before the Commission or an officer or officers of the Commission designated by it , and appropriate records thereof shall be kept . JURISDICTION OF OFFENSES AND SUITS SEC . 22. [ 77v Sec . 20 24 SECURITIES ACT OF 1933.
... may be held before the Commission or an officer or officers of the Commission designated by it , and appropriate records thereof shall be kept . JURISDICTION OF OFFENSES AND SUITS SEC . 22. [ 77v Sec . 20 24 SECURITIES ACT OF 1933.
Side 33
... records of foreign external securities in default and records of the progress made toward the payment of past - due obligations . ( 7 ) Take such steps as it may deem expedient with the view of securing the adoption of clear and simple ...
... records of foreign external securities in default and records of the progress made toward the payment of past - due obligations . ( 7 ) Take such steps as it may deem expedient with the view of securing the adoption of clear and simple ...
Side 51
... records " means accounts , correspondence , memorandums , tapes , discs , papers , books , and other docu- ments or transcribed information of any type , whether ex- pressed in ordinary or machine language . ( 38 ) The term " market ...
... records " means accounts , correspondence , memorandums , tapes , discs , papers , books , and other docu- ments or transcribed information of any type , whether ex- pressed in ordinary or machine language . ( 38 ) The term " market ...
Side 60
... records to verify the accuracy of any information so sup- plied . ( 4 ) A national securities exchange may limit ( A ) the number of members of the exchange and ( B ) the number of members and des- ignated representatives of members ...
... records to verify the accuracy of any information so sup- plied . ( 4 ) A national securities exchange may limit ( A ) the number of members of the exchange and ( B ) the number of members and des- ignated representatives of members ...
Side 61
... record . A de- termination by the exchange to impose a disciplinary sanction shall be supported by a statement setting forth- ( A ) any act or practice in which such member or person asso- ciated with a member has been found to have ...
... record . A de- termination by the exchange to impose a disciplinary sanction shall be supported by a statement setting forth- ( A ) any act or practice in which such member or person asso- ciated with a member has been found to have ...
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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