laws relating to securities commission exchanges and holding companies1976 |
도서 본문에서
85개의 결과 중 1 - 3개
201 페이지
... principal underwriter acting as agent for such company . " Principal underwriter " of or for a closed - end company or any issuer which is not an investment company , or of any security issued by such a company or issuer , means any ...
... principal underwriter acting as agent for such company . " Principal underwriter " of or for a closed - end company or any issuer which is not an investment company , or of any security issued by such a company or issuer , means any ...
217 페이지
... principal underwriter of which is the depositor or an investment adviser of such company , or an affiliated person of such depositor or investment adviser . OFFERS OF EXCHANGE SEC . 11. ( a ) It shall be unlawful for any registered open ...
... principal underwriter of which is the depositor or an investment adviser of such company , or an affiliated person of such depositor or investment adviser . OFFERS OF EXCHANGE SEC . 11. ( a ) It shall be unlawful for any registered open ...
234 페이지
... principal underwriter except at a price equal to the price at which such security is then offered to the public less a commission , discount , or spread which is computed in conformity with a method or methods , and within such ...
... principal underwriter except at a price equal to the price at which such security is then offered to the public less a commission , discount , or spread which is computed in conformity with a method or methods , and within such ...
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