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 80
Side 4
... underwriter or among underwriters who are or are to be in privity of contract with an issuer ( or any person directly or indirectly controlling or controlled by an issuer , or under direct or indirect common control with an issuer ) ...
... underwriter or among underwriters who are or are to be in privity of contract with an issuer ( or any person directly or indirectly controlling or controlled by an issuer , or under direct or indirect common control with an issuer ) ...
Side 5
... underwriting of any such undertaking ; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary distributors ' or sellers ' commission . As ...
... underwriting of any such undertaking ; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary distributors ' or sellers ' commission . As ...
Side 10
... underwriter no longer acting as an underwriter in respect of the security in- volved in such transaction ) , except- ( A ) transactions taking place prior to the expiration of forty days after the first date upon which the security was ...
... underwriter no longer acting as an underwriter in respect of the security in- volved in such transaction ) , except- ( A ) transactions taking place prior to the expiration of forty days after the first date upon which the security was ...
Side 12
... underwriter of such security . Signatures of all such persons when written on the said registration statements shall be pre- sumed to have been so written by authority of the person whose signature is so affixed and the burden of proof ...
... underwriter of such security . Signatures of all such persons when written on the said registration statements shall be pre- sumed to have been so written by authority of the person whose signature is so affixed and the burden of proof ...
Side 15
... underwriter , or any other person , in respect of any matter relevant to the examination , and may , in its discretion , require the produc- tion of a balance sheet exhibiting the assets and liabilities of the issuer , or its income ...
... underwriter , or any other person , in respect of any matter relevant to the examination , and may , in its discretion , require the produc- tion of a balance sheet exhibiting the assets and liabilities of the issuer , or its income ...
Andre utgaver - Vis alle
Compilation of Securities Laws Within the Jurisdiction of the Committee on ... 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