laws relating to securities commission exchanges and holding companies1976 |
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... amends Securities Exchanges Act of 1934 relating to Registration Fees ... Public , No. 55-79th Cong . , Chapter 122--1st Sess . To amend section 3 ( b ) of Securities Act of 1933 , as amended . Approved May 15 , 1945 This Act amends ...
... amends Securities Exchanges Act of 1934 relating to Registration Fees ... Public , No. 55-79th Cong . , Chapter 122--1st Sess . To amend section 3 ( b ) of Securities Act of 1933 , as amended . Approved May 15 , 1945 This Act amends ...
299 ÆäÀÌÁö
... amended , is amended to read as follows : " ( 12 ) Investment company ' , affiliated person , and ' insurance com- pany ' have the same meanings as in the Investment Company Act of 1940. ' Control ' means the power to exercise a ...
... amended , is amended to read as follows : " ( 12 ) Investment company ' , affiliated person , and ' insurance com- pany ' have the same meanings as in the Investment Company Act of 1940. ' Control ' means the power to exercise a ...
301 ÆäÀÌÁö
... amended , is amended by striking out " reg- 15 USC 80b - 6 . istered under section 203 " . SEC . 9. Section 206 of the Investment Advisers Act of 1940 , as Prohibitions . amended , is amended by changing the period at the end thereof to ...
... amended , is amended by striking out " reg- 15 USC 80b - 6 . istered under section 203 " . SEC . 9. Section 206 of the Investment Advisers Act of 1940 , as Prohibitions . amended , is amended by changing the period at the end thereof to ...
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Examinations to determine whether stop order should issue | 7 |
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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