laws relating to securities commission exchanges and holding companies1976 |
도서 본문에서
66개의 결과 중 1 - 3개
xvi 페이지
... underwriter of unregistered investment company having no board of directors .. ( c ) Prohibited to a promoter or underwriter with regard to a pro- posed unregistered investment company .. ( d ) Prohibition of use of mails or means of ...
... underwriter of unregistered investment company having no board of directors .. ( c ) Prohibited to a promoter or underwriter with regard to a pro- posed unregistered investment company .. ( d ) Prohibition of use of mails or means of ...
201 페이지
... underwriter in isolated transactions but not as a part of a regular business , or any person solely by reason of the fact that such person is an underwriter for one or more investment companies . ( 21 ) " Issuer " means every person who ...
... underwriter in isolated transactions but not as a part of a regular business , or any person solely by reason of the fact that such person is an underwriter for one or more investment companies . ( 21 ) " Issuer " means every person who ...
234 페이지
... underwriter for distribution or at a current public offering price described in the prospectus , and , if such class of security is being currently offered to the public by or through an underwriter , no principal underwriter of such ...
... underwriter for distribution or at a current public offering price described in the prospectus , and , if such class of security is being currently offered to the public by or through an underwriter , no principal underwriter of 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