Investment Advisers Act of 1940, as in Effect July 1, 1974U.S. Government Printing Office, 1974 - 21페이지 |
도서 본문에서
4개의 결과 중 1 - 4개
3 페이지
... course of his official duty , unless such pro- vision makes specific reference thereto . Registration of Investment Advisers SEC . 203. ( a ) Except as provided in subsection ( b ) , it shall be unlawful for any investment ad- viser ...
... course of his official duty , unless such pro- vision makes specific reference thereto . Registration of Investment Advisers SEC . 203. ( a ) Except as provided in subsection ( b ) , it shall be unlawful for any investment ad- viser ...
5 페이지
... course of the preceding twelve months has had fewer than fifteen clients and who neither holds himself out generally to the public as an investment adviser nor acts as an invest- ment adviser to any investment company reg- istered under ...
... course of the preceding twelve months has had fewer than fifteen clients and who neither holds himself out generally to the public as an investment adviser nor acts as an invest- ment adviser to any investment company reg- istered under ...
7 페이지
... course of business if the mails or any means or instrumentality of inter- state commerce are used in connection therewith shall also prohibit any such act , practice , or course of business by any investment adviser registered pursuant ...
... course of business if the mails or any means or instrumentality of inter- state commerce are used in connection therewith shall also prohibit any such act , practice , or course of business by any investment adviser registered pursuant ...
13 페이지
... course of business which operates as a fraud or deceit upon any client or prospective client ; ( 3 ) acting as principal for his own account , knowingly to sell any security to or purchase any security from a client , or acting as ...
... course of business which operates as a fraud or deceit upon any client or prospective client ; ( 3 ) acting as principal for his own account , knowingly to sell any security to or purchase any security from a client , or acting as ...
자주 나오는 단어 및 구문
74 Stat act or practice affiliated person amended by Public assets asso Atchafalaya River bank beneficial ownership Bldg broker or dealer centum certificate of deposit client Commis counsel course of business court deemed directly or indirectly District of Columbia effective date employee EXCHANGE COMMISSION exempt filing Former subsection instrumentality of interstate insurance company interstate commerce INVESTMENT ADVISERS ACT Investment Advisers SEC investment advisory contract Investment Company Act investment supervisory services issuer jurisdiction liquidating agent mails means or instrumentality ment adviser national securities exchange necessary or appropriate ness order thereunder outstanding voting securities paragraph period person associated person directly Phone primarily engaged proceeding protection of investors provisions of subsection public interest Public Law redesignated reinvesting rities rule or regulation rules and regulations section 203 secu securities issued short-term paper similar official sion subsection f supervision tion trading in securities transaction United United States Code unlawful vestment adviser violation willfully
인기 인용구
20 페이지 - common trust fund" means a fund maintained by a bank (as defined in section 104) — (1) exclusively for the collective investment and reinvestment of moneys contributed thereto by the bank in its capacity as a trustee, executor, administrator, or guardian...
21 페이지 - ... or more of whose outstanding voting securities are directly or indirectly owned, controlled, or held with power to vote, by such other person; (C) any person directly or indirectly controlling, controlled by, or under common control with, such other person...
19 페이지 - ... (2) Any issuer which the Commission, upon application by such issuer, finds and by order declares to be primarily engaged in a business or businesses other than that of investing, reinvesting, owning, holding, or trading in securities either directly or (A) through majority-owned subsidiaries or (B) through controlled companies conducting similar types of businesses.
3 페이지 - When used in this title, unless the context otherwise requires — (1) the term "security" means any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas, or other mineral rights, or, in...
16 페이지 - If either party shall apply to the court for leave to adduce additional evidence, and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for failure to adduce such evidence in the...
14 페이지 - Board, its member, agent, or agency, there to produce evidence if so ordered, or there to give testimony touching the matter under investigation or in question ; and any failure to obey such order of the court may be punished by said court as a contempt thereof.
17 페이지 - If any provision of this Act, or the application of such provision to any person or circumstances, shall be held invalid, the remainder of this Act, or the application of such provision to persons or circumstances other than those as to which it is held invalid, shall not be affected thereby.
14 페이지 - Commission, there to produce records, if so ordered, or to give testimony touching the matter under investigation or in question; and any failure to obey such order of the court may be punished by such court as a contempt thereof. All process in any such case may be served in the judicial district whereof such person is an inhabitant or wherever he may be found or may be doing business.
14 페이지 - States courts of any Territory or other place subject to the jurisdiction of the United States, to enjoin such acts or practices and...
8 페이지 - ... or any rule or regulation thereunder or any undertaking contained in a registration statement as provided in subsection (d) of Section 15 of this title, which statement was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact...