laws relating to securities commission exchanges and holding companies1976 |
도서 본문에서
43개의 결과 중 1 - 3개
299 페이지
... adviser under the provisions of subsection ( d ) , and " . SEC . 3. ( a ) Paragraph ( 2 ) of subsection ( c ) of section 203 of the Investment Advisers Act of 1940 , as amended , is amended to read as follows : " ( 2 ) a statement as to ...
... adviser under the provisions of subsection ( d ) , and " . SEC . 3. ( a ) Paragraph ( 2 ) of subsection ( c ) of section 203 of the Investment Advisers Act of 1940 , as amended , is amended to read as follows : " ( 2 ) a statement as to ...
440 페이지
... adviser , or a corporate trustee performing the functions of an investment adviser , of a registered investment company or an affiliated person of such investment adviser or corpo- rate trustee may receive any amount or benefit in ...
... adviser , or a corporate trustee performing the functions of an investment adviser , of a registered investment company or an affiliated person of such investment adviser or corpo- rate trustee may receive any amount or benefit in ...
442 페이지
... adviser ' includes a corporate or other trustee performing the functions of an investment adviser . " . ( 7 ) Section 36 thereof is further amended by adding at the end thereof the following new subsection : " ( d ) For the purposes of ...
... adviser ' includes a corporate or other trustee performing the functions of an investment adviser . " . ( 7 ) Section 36 thereof is further amended by adding at the end thereof the following new subsection : " ( d ) For the purposes of ...
목차
AN | 1 |
Examinations to determine whether stop order should issue | 7 |
9 Write or written__ | 9 |
표시되지 않은 섹션 69개
자주 나오는 단어 및 구문
affiliate application approval authority bank holding company broker or dealer centum Commission may prescribe contract corporation court creditors debtor debtor in possession deems necessary directly or indirectly directors District of Columbia electric energy face-amount certificate company filed indenture trustee instrumentality of interstate interstate commerce investment company investors or consumers issuer jurisdiction liability license mails means or instrumentality national securities exchange necessary or appropriate notice and opportunity obligor officer opportunity for hearing order thereunder otherwise outstanding pany paragraph payment person petition prescribe as necessary proceeding protection of investors public interest public utility public-utility company purchase purposes pursuant reasonable registered holding company registration statement regulation thereunder regulations or order respect rule or regulation rules and regulations Securities Act Securities Exchange Act security issued SIPC specified Stat stockholders suant subsection subsidiary company thereof tion transaction underwriter unit investment trust United unlawful violation