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 48
... . ( C ) When used with respect to a participant or applicant to become a participant in a clearing agency or a person requesting or having access to services offered by a clear- Sec . 3 48 SECURITIES EXCHANGE ACT OF 1934.
... . ( C ) When used with respect to a participant or applicant to become a participant in a clearing agency or a person requesting or having access to services offered by a clear- Sec . 3 48 SECURITIES EXCHANGE ACT OF 1934.
Side 49
... requesting or having access to services offered by a clear- ing agency : ( i ) the Comptroller of the Currency , in the case of a national bank or a bank operating under the Code of Law for the District of Columbia when the appropriate ...
... requesting or having access to services offered by a clear- ing agency : ( i ) the Comptroller of the Currency , in the case of a national bank or a bank operating under the Code of Law for the District of Columbia when the appropriate ...
Side 57
... request for action pursuant to section 8 ( a ) or section 8 ( c ) of the Securities Act of 1933 or the first sentence of section 12 ( d ) of this title ; ( 2 ) suspends trading in a security pursuant to section 12 ( k ) of this title ...
... request for action pursuant to section 8 ( a ) or section 8 ( c ) of the Securities Act of 1933 or the first sentence of section 12 ( d ) of this title ; ( 2 ) suspends trading in a security pursuant to section 12 ( k ) of this title ...
Side 88
... requests , the name of the bank shall not be made available to the public ; ( C ) if the purpose of the purchases or prospective purchases is to acquire control of the business of the issuer of the securi- ties any plans or proposals ...
... requests , the name of the bank shall not be made available to the public ; ( C ) if the purpose of the purchases or prospective purchases is to acquire control of the business of the issuer of the securi- ties any plans or proposals ...
Side 94
... request or invitation for tenders of , any class of any equity security which is registered pursuant to section 12 of this title , or any equity security of an in- surance company which would have been required to be so regis- 24 See 49 ...
... request or invitation for tenders of , any class of any equity security which is registered pursuant to section 12 of this title , or any equity security of an in- surance company which would have been required to be so regis- 24 See 49 ...
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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