laws relating to securities commission exchanges and holding companies1976 |
도서 본문에서
82개의 결과 중 1 - 3개
48 페이지
... authority pursuant to this title or rules and regulations there- under , be deemed a finding by such authority that such statement or report is true and accurate on its face or that it is not false or mislead- ing . It shall be unlawful ...
... authority pursuant to this title or rules and regulations there- under , be deemed a finding by such authority that such statement or report is true and accurate on its face or that it is not false or mislead- ing . It shall be unlawful ...
192 페이지
... authority to be invalid for any reason . " HEARINGS BY COMMISSION " SEC . 320. Hearings may be public and may be held before the Commission , any member or members thereof , or any officer or officers of the Commission designated by it ...
... authority to be invalid for any reason . " HEARINGS BY COMMISSION " SEC . 320. Hearings may be public and may be held before the Commission , any member or members thereof , or any officer or officers of the Commission designated by it ...
422 페이지
... authority or other State or Federal regu- latory authority having jurisdiction over a person registered as a clear- ing agency or transfer agent to make and enforce rules governing such person which are not inconsistent with this title ...
... authority or other State or Federal regu- latory authority having jurisdiction over a person registered as a clear- ing agency or transfer agent to make and enforce rules governing such person which are not inconsistent with this title ...
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