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
다른 사람들의 의견 - 서평 쓰기
서평을 찾을 수 없습니다.
기타 출판본 - 모두 보기
accordance action agency agent amended amount application assets association authority bank Board broker or dealer centum certificate clearing agency Commission contained contract corporation court deemed determine directly directors effect employee engaged exempt extent Federal filed finds government securities hearing holders holding company indenture indirectly individual institution investment company issued issuer limited loan mails means meeting ment municipal securities necessary or appropriate notice obligations offer officer operations organization otherwise outstanding paragraph participation payment period person prescribe principal prior proceeding proposed protection of investors provisions public interest purchase pursuant reasonable records registered regulatory relating request Reserve respect rules and regulations securities dealer securities exchange sion SIPC specified statement subsection term thereof thereunder tion transactions transfer trustee underwriter United unlawful unless violation voting
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.
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.