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 |
Inni boken
Resultat 1-5 av 99
Side 16
... rules or regulations designate as not being nec- essary or appropriate in the public interest or for the protec- tion of investors . ( b ) In addition to the prospectus permitted or required in subsec- tion ( a ) , the Commission shall by ...
... rules or regulations designate as not being nec- essary or appropriate in the public interest or for the protec- tion of investors . ( b ) In addition to the prospectus permitted or required in subsec- tion ( a ) , the Commission shall by ...
Side 17
... rules or 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 ...
... rules or 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 ...
Side 22
... rules and regula- tions as may be necessary to carry out the provisions of this title , including rules and regulations governing registration statements and prospectuses for various classes of securities and issuers , and defining ...
... rules and regula- tions as may be necessary to carry out the provisions of this title , including rules and regulations governing registration statements and prospectuses for various classes of securities and issuers , and defining ...
Side 41
... rules and regulations thereunder , and its own rules . For purposes of sections 6 ( b ) ( 1 ) , 6 ( b ) ( 4 ) , 6 ( b ) ( 6 ) , 6 ( b ) ( 7 ) , 6 ( d ) , 17 ( d ) , 19 ( d ) , 19 ( e ) , 19 ( g ) , 19 ( h ) , and 21 of this title , the ...
... rules and regulations thereunder , and its own rules . For purposes of sections 6 ( b ) ( 1 ) , 6 ( b ) ( 4 ) , 6 ( b ) ( 6 ) , 6 ( b ) ( 7 ) , 6 ( d ) , 17 ( d ) , 19 ( d ) , 19 ( e ) , 19 ( g ) , 19 ( h ) , and 21 of this title , the ...
Andre utgaver - Vis alle
Compilation of Securities Laws Within the Jurisdiction of the ..., Volum 4 United States Uten tilgangsbegrensning - 1988 |
Vanlige uttrykk og setninger
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