Securities Exchange Act of 1934: And Amendments Public--no. 291--73d Congress H.R. 9323 ...U.S. Government Printing Office, 1938 - 44페이지 |
도서 본문에서
15개의 결과 중 1 - 5개
1 페이지
... carried on in large volume by the public generally and in large part originate outside the States in which the exchanges and over - the - counter markets are located and / or are effected by means of the mails and instrumentalities of ...
... carried on in large volume by the public generally and in large part originate outside the States in which the exchanges and over - the - counter markets are located and / or are effected by means of the mails and instrumentalities of ...
4 페이지
... carrying any warrant or right to subscribe to or purchase such a security ; or any such warrant or right ; or any other security which the Commission shall deem to be of similar nature and consider necessary or appropriate , by such ...
... carrying any warrant or right to subscribe to or purchase such a security ; or any such warrant or right ; or any other security which the Commission shall deem to be of similar nature and consider necessary or appropriate , by such ...
5 페이지
... carrying out its functions under this Act , without regard to the provisions of other laws applicable to the employment and compensation of officers and employees of the United States , and the Commission may , subject to the civil ...
... carrying out its functions under this Act , without regard to the provisions of other laws applicable to the employment and compensation of officers and employees of the United States , and the Commission may , subject to the civil ...
7 페이지
... carrying of securities , the Federal Reserve Board shall , prior to the effective date of this section and from time to time thereafter , prescribe rules and regulations with respect to the amount of credit that may be initially ...
... carrying of securities , the Federal Reserve Board shall , prior to the effective date of this section and from time to time thereafter , prescribe rules and regulations with respect to the amount of credit that may be initially ...
8 페이지
... carrying of or trading in securities in circumvention of the other provisions of this section . Such rules and regulations may impose upon all loans made for the purpose of purchasing or carry- ing securities registered on national ...
... carrying of or trading in securities in circumvention of the other provisions of this section . Such rules and regulations may impose upon all loans made for the purpose of purchasing or carry- ing securities registered on national ...
자주 나오는 단어 및 구문
74th Cong action acts or practices appropriate notice approved bank broker or dealer commerce to effect commercial paper Commission finds Commission is authorized Commission may deem Commission may prescribe contravention court deem necessary directly or indirectly effect any transaction effective date exempted security extension false or misleading Federal Reserve Board Federal Reserve System Federal Trade Commission indirectly controlling induce the purchase instrumentality of interstate interstate commerce jurisdiction liability listed and registered mails means or instrumentality national securities association national securities exchange necessary or appro necessary or appropriate notice and opportunity officer opportunity for hearing paragraph person directly prescribe as necessary protection of investors public interest purchase or sale purpose reason registered securities association registration statement regulation thereunder reports rule or regulation rules and regulations section 15 Securities Act security registered suant term issuer terms and conditions therein tion treasury stock United unlawful unless unlisted trading privileges
인기 인용구
39 페이지 - 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 general, any interest or instrument commonly known as a "security...
34 페이지 - Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper. The Commission may modify its findings as to the facts, or make new findings, by reason of the additional evidence so taken...
34 페이지 - Any person aggrieved by an order of the Commission may obtain a review of such order in the Court of Appeals ' of the United States, within any circuit wherein such person resides or has his principal place of business, or in the United States Court of Appeals for the District of Columbia...
33 페이지 - ... no individual shall be prosecuted or subject to any penalty or forfeiture for or on account of any transaction, matter, or thing concerning which he is compelled, after having claimed his privilege against self-incrimination, to testify or produce evidence, documentary or otherwise, except that such individual so testifying shall not be exempt from prosecution and punishment for perjury committed in so testifying.
34 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 hearing before the Commission, the court may order such additional evidence to be taken before the Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper.
32 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.
4 페이지 - ... (1) any member appointed to fill a vacancy occurring prior to the expiration of the term for which his predecessor was appointed, shall be appointed for the remainder of such term; and (2) the terms of office of the members first taking office after the date of...
11 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, "(a) To employ any device, scheme, or artifice to defraud...
33 페이지 - States court of any 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.
3 페이지 - ... acceptance which arises out of a current transaction or the proceeds of which have been or are to be used for current transactions, and which has a maturity at the time of issuance of not exceeding nine months, exclusive of days of grace, or any renewal thereof the maturity of which is likewise limited.