Compilation of Securities Laws Within the Jurisdiction of the Committee on 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 Advisors Act of 1940, Securities Investor Protection Act of 1970, 4권U.S. Government Printing Office, 1997 - 720페이지 |
도서 본문에서
100개의 결과 중 1 - 5개
페이지
... Fund Sec . 5. Protection of customers Sec . 6. General provisions of a liquidation proceeding Sec . 7. Powers and duties of trustee Sec . 8. Special provisions of a liquidation proceeding Sec . 9. SIPC advances Sec . 10. Direct payment ...
... Fund Sec . 5. Protection of customers Sec . 6. General provisions of a liquidation proceeding Sec . 7. Powers and duties of trustee Sec . 8. Special provisions of a liquidation proceeding Sec . 9. SIPC advances Sec . 10. Direct payment ...
7 페이지
... fund or simi- lar fund maintained by a bank exclusively for the collective in- vestment and reinvestment of assets contributed ... funds accumulated under such plan , if under such plan it is impossible , prior to the satisfaction of all ...
... fund or simi- lar fund maintained by a bank exclusively for the collective in- vestment and reinvestment of assets contributed ... funds accumulated under such plan , if under such plan it is impossible , prior to the satisfaction of all ...
8 페이지
... fund or similar fund , or a collective trust fund , the term " bank " has the same meaning as in the Investment Company Act of 1940 ; ( 3 ) Any note , draft , bill of exchange , or banker's acceptance which arises out of a current ...
... fund or similar fund , or a collective trust fund , the term " bank " has the same meaning as in the Investment Company Act of 1940 ; ( 3 ) Any note , draft , bill of exchange , or banker's acceptance which arises out of a current ...
33 페이지
... funds dis- gorged as the result of an action brought by the Commission in Federal court , or as a result of any ... funds . HEARINGS BY COMMISSION SEC . 21. [ 77u ] All hearings shall be public and may be held before the Commission or an ...
... funds dis- gorged as the result of an action brought by the Commission in Federal court , or as a result of any ... funds . HEARINGS BY COMMISSION SEC . 21. [ 77u ] All hearings shall be public and may be held before the Commission or an ...
36 페이지
... funds , and if the funds are to be raised in part from other sources , the amounts thereof and the sources thereof , shall be stated ; ( 14 ) the remuneration , paid or estimated to be paid , by the is- suer or its predecessor ...
... funds , and if the funds are to be raised in part from other sources , the amounts thereof and the sources thereof , shall be stated ; ( 14 ) the remuneration , paid or estimated to be paid , by the is- suer or its predecessor ...
기타 출판본 - 모두 보기
자주 나오는 단어 및 구문
action affiliate amended amount application appropriate regulatory agency assets authority bank Board broker or dealer business development company centum certificate clearing agency Commis Commission contract court curities deemed determination directors effect employee exempt face-amount certificate company Federal Federal Reserve System fees filed government securities broker government securities dealer indenture securities investment adviser issuer jurisdiction ment municipal securities dealer national securities exchange necessary or appropriate officer otherwise pany paragraph participant payment penny stock proceeding protection of investors provisions public interest public utility purchase purposes pursuant to section reasonable records registered holding company registered investment company registration statement request respect rities rule or regulation rules and regulations secu Securities Act Securities Exchange Act securities issued self-regulatory organization sion SIPC specified Stat subparagraph subsection term tion transaction trustee underwriter unit investment trust United States Code unlawful violation
인기 인용구
92 페이지 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange...
5 페이지 - commerce' means trade, traffic, commerce, transportation, or communication among the several States, or between the District of Columbia or any Territory of the United States and any State or other Territory, or between any foreign country and any State, Territory, or the District of Columbia, or within the District of Columbia or any Territory, or between points in the same State but through any other State or any Territory or the District of Columbia or any foreign country. "(7) The term 'affecting...
132 페이지 - Commission with respect to registration, any statement which was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact...
19 페이지 - If either party shall apply to the court for leave to adduce additional evidence and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for the failure to adduce such evidence in the proceeding before the Commission, the court may order such additional evidence to be taken before the Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper.
518 페이지 - A final order, opinion, statement of policy, interpretation, or staff manual or instruction that affects a member of the public may be relied on, used, or cited as precedent by an agency against a party other than an agency only if • (i) it has been indexed and either made available or published as provided by this paragraph; or • (ii) the party has actual and timely notice of the terms thereof.
630 페이지 - States, and such guaranty shall be expressed on the face thereof, and such bonds shall be lawful investments, and may be accepted as security for all fiduciary, trust, and public funds, the investment or deposit of which shall be under the authority or control of the United States or any officer or officers thereof.
238 페이지 - ... may be brought in any such district or in the district wherein the defendant is found or is an inhabitant or transacts business, and process in such cases may be served in any other district of which the defendant is an inhabitant or wherever the defendant may be found.
205 페이지 - Territory or other place subject to the jurisdiction of the United States, to enjoin such acts or practices, and upon a proper showing a permanent or temporary injunction or restraining order shall be; granted without bond.
5 페이지 - underwriter" means any person who has purchased from an issuer with a view to, or offers or sells for an issuer in connection with, the distribution of any security, or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in the direct or indirect 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...
341 페이지 - ... group or index of securities (including any interest therein or based on the value thereof), or any put, call, straddle, option, or privilege entered into on a national securities exchange relating to foreign currency, or, in general, any interest or instrument commonly known as a "security...