Compilation of Securities Laws Within the Jurisdiction of the Committee on Energy and Commerce: Including Securities Act of 1933, Securities Exchange Act of 1934 ...U.S. Government Printing Office, 1987 |
도서 본문에서
100개의 결과 중 1 - 5개
8 페이지
... amount in excess of the employer's contribution is al- located to the purchase of securities ( other than interests ... amount paid or deposited by the purchaser , by way of any fee , cash value or other device whatsoever , either upon ...
... amount in excess of the employer's contribution is al- located to the purchase of securities ( other than interests ... amount paid or deposited by the purchaser , by way of any fee , cash value or other device whatsoever , either upon ...
10 페이지
... amount involved or the limited character of the public offer- ing ; but no issue of securities shall be exempted under this subsec- tion where the aggregate amount at which such issue is offered to the public exceeds $ 5,000,000 . ( c ) ...
... amount involved or the limited character of the public offer- ing ; but no issue of securities shall be exempted under this subsec- tion where the aggregate amount at which such issue is offered to the public exceeds $ 5,000,000 . ( c ) ...
12 페이지
... amount allowed under section 3 ( b ) of this title , if there is no advertising or public solicitation in con- nection with the transaction by the issuer or anyone acting on the issuer's behalf , and if the issuer files such notice with ...
... amount allowed under section 3 ( b ) of this title , if there is no advertising or public solicitation in con- nection with the transaction by the issuer or anyone acting on the issuer's behalf , and if the issuer files such notice with ...
20 페이지
... amount paid for the security ( not exceeding the price at which the security was offered to the public ) and ( 1 ) the value thereof as of the time such suit was brought , or ( 2 ) the price at which such secu- rity shall have been ...
... amount paid for the security ( not exceeding the price at which the security was offered to the public ) and ( 1 ) the value thereof as of the time such suit was brought , or ( 2 ) the price at which such secu- rity shall have been ...
22 페이지
... amount thereof . ( c ) The exemptions provided in section 3 shall not apply to the provisions of this section . STATE CONTROL OF SECURITIES SEC . 18. [ 77r ] Nothing in this title shall affect the jurisdiction of the securities ...
... amount thereof . ( c ) The exemptions provided in section 3 shall not apply to the provisions of this section . STATE CONTROL OF SECURITIES SEC . 18. [ 77r ] Nothing in this title shall affect the jurisdiction of the securities ...
기타 출판본 - 모두 보기
자주 나오는 단어 및 구문
amended amount application appropriate regulatory agency assets bank Board broker or dealer broker or government business development company centum clearing agency Commis Commodity Exchange Act contract court curities debtor determine directly or indirectly directors employee face-amount certificate company Federal Federal Reserve System filed government securities broker government securities dealer holding company indenture securities instrumentality of interstate interstate commerce investment adviser issuer loan mails means or instrumentality ment municipal securities dealer national securities exchange necessary or appropriate officer opportunity for hearing otherwise paragraph participation payment person associated proceeding protection of investors provisions public interest purchase purposes pursuant to section reasonable registered investment company registration statement respect rule or regulation rules and regulations secu Securities Act securities issued security holders self-regulatory organization sion SIPC specified subparagraph subsection term tion transactions trustee unit investment trust United United States Code unlawful voting securities
인기 인용구
257 페이지 - ... security", or any certificate of interest or participation in, temporary or interim certificate for, receipt for, guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing.
376 페이지 - Is authorized to use as a public debt transaction the proceeds from the sale of any securities issued under the Second Liberty Bond Act...
325 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.
273 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...
494 페이지 - States, and such guaranty shall be expressed on the face thereof, and such bonds shall be lawful investments, and may be accepted as security for all fiduciary, trust, and public funds, the investment or deposit of which shall be under the authority or control of the United States or any officer or officers thereof.
149 페이지 - Territory or other place subject to the jurisdiction of the United States, to enjoin such acts or practices, and upon a proper showing a permanent or temporary injunction or restraining order shall be; granted without bond.
405 페이지 - Each agency, in accordance with published rules, shall make available for public inspection and copying — (A) final opinions, including concurring and dissenting opinions, as well as orders, made in the adjudication of cases; (B) those statements of policy and interpretations which have been adopted by the agency and are not published in the Federal Register...
67 페이지 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails or of any facility of any national securities exchange...
204 페이지 - No provision of this title imposing any liability shall apply to any act done or omitted in good faith in conformity with any rule, regulation, or order of the Commission, notwithstanding that such rule, regulation, or order may, after such act or omission, be amended or rescinded or be determined by judicial or other authority to be invalid for any reason.
20 페이지 - ... (2) to obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading...