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 4
... respect to certifi- cates of deposit , voting - trust certificates , or collateral - trust cer- tificates , or with respect to certificates of interest or shares in an unincorporated investment trust not having a board of di- rectors ...
... respect to certifi- cates of deposit , voting - trust certificates , or collateral - trust cer- tificates , or with respect to certificates of interest or shares in an unincorporated investment trust not having a board of di- rectors ...
Side 9
... respect to such securities is not necessary in the public interest and for the protection of investors by reason of the small amount involved or the limited character of the public offer- ing ; but no issue of securities shall be ...
... respect to such securities is not necessary in the public interest and for the protection of investors by reason of the small amount involved or the limited character of the public offer- ing ; but no issue of securities shall be ...
Side 18
... respect to the statement in such registration statement , report , or valuation , which purports to have been prepared or certified by him ; ( 5 ) every underwriter with respect to such security . If such person acquired the security ...
... respect to the statement in such registration statement , report , or valuation , which purports to have been prepared or certified by him ; ( 5 ) every underwriter with respect to such security . If such person acquired the security ...
Side 19
... respect to the se- curity after the part of the registration statement with respect to which his liability is asserted has become effective , then for the purposes of paragraph ( 3 ) of subsection ( b ) of this section such part of the ...
... respect to the se- curity after the part of the registration statement with respect to which his liability is asserted has become effective , then for the purposes of paragraph ( 3 ) of subsection ( b ) of this section such part of the ...
Side 25
... respect thereto , and , concurrent with State and Territorial courts , of all suits in equity and actions at law brought to enforce any liability or duty created by this title . Any such suit or action may be brought in the district ...
... respect thereto , and , concurrent with State and Territorial courts , of all suits in equity and actions at law brought to enforce any liability or duty created by this title . Any such suit or action may be brought in the district ...
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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