laws relating to securities commission exchanges and holding companies1976 |
도서 본문에서
75개의 결과 중 1 - 3개
2 페이지
... term " issuer " means every person who issues or proposes to issue any security or who guarantees a security either as to prin- cipal or income ; except that with respect to certificates of deposit , voting - trust certificates , or ...
... term " issuer " means every person who issues or proposes to issue any security or who guarantees a security either as to prin- cipal or income ; except that with respect to certificates of deposit , voting - trust certificates , or ...
167 페이지
... 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 distributors ' or sellers ' commission . " ( 5 ) The term ' director ' means any director ...
... 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 distributors ' or sellers ' commission . " ( 5 ) The term ' director ' means any director ...
298 페이지
... term of office , and except that any person ap- pointed to fill a vacancy occurring prior to the expiration of the term for which his predecessor was appointed shall be appointed only for the unexpired term . " SEC . 2. The first ...
... term of office , and except that any person ap- pointed to fill a vacancy occurring prior to the expiration of the term for which his predecessor was appointed shall be appointed only for the unexpired term . " SEC . 2. The first ...
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