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 17
... regulations require as being necessary or appropriate in the public interest or for the protection of inves- tors . ( d ) In the exercise of its powers under subsections ( a ) , ( b ) , or ( c ) , the Commission shall have authority to ...
... regulations require as being necessary or appropriate in the public interest or for the protection of inves- tors . ( d ) In the exercise of its powers under subsections ( a ) , ( b ) , or ( c ) , the Commission shall have authority to ...
Side 22
... regulations governing registration statements and prospectuses for various classes of securities and issuers , and defining accounting , technical and trade terms used in this title . Among other things , the Commission shall have ...
... regulations governing registration statements and prospectuses for various classes of securities and issuers , and defining accounting , technical and trade terms used in this title . Among other things , the Commission shall have ...
Side 23
... regulation , ( B ) maximum uniformity in Federal and State regulatory standards , ( C ) minimum interference with the business of capital forma- tion , and ( D ) a substantial reduction in costs and paperwork to dimin- ish the burdens ...
... regulation , ( B ) maximum uniformity in Federal and State regulatory standards , ( C ) minimum interference with the business of capital forma- tion , and ( D ) a substantial reduction in costs and paperwork to dimin- ish the burdens ...
Side 39
... REGULATION OF SECURITIES EXCHANGES SHORT TITLE SECTION 1. [ 78a ] This Act may be cited as the " Securities Ex- change Act of 1934 . NECESSITY FOR REGULATION AS PROVIDED IN THIS TITLE SEC . 2. [ 78b ] For the reasons hereinafter ...
... REGULATION OF SECURITIES EXCHANGES SHORT TITLE SECTION 1. [ 78a ] This Act may be cited as the " Securities Ex- change Act of 1934 . NECESSITY FOR REGULATION AS PROVIDED IN THIS TITLE SEC . 2. [ 78b ] For the reasons hereinafter ...
Side 41
... regulated by such association and with respect to whom the association undertakes to enforce compliance with the provisions of this title , the rules and regulations thereun- der , and its own rules . ( 4 ) The term " broker " means any ...
... regulated by such association and with respect to whom the association undertakes to enforce compliance with the provisions of this title , the rules and regulations thereun- der , and its own rules . ( 4 ) The term " broker " means any ...
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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