Laws Relating to Securities Commission, Exchanges and Holding CompaniesU.S. Government Printing Office, 1981 |
목차
| 28 | |
| 29 | |
| 31 | |
| 39 | |
| 45 | |
| 55 | |
| 56 | |
| 67 | |
| 73 | |
| 74 | |
| 82 | |
| 85 | |
| 88 | |
| 94 | |
| 95 | |
| 101 | |
| 106 | |
| 112 | |
| 115 | |
| 121 | |
| 123 | |
| 129 | |
| 131 | |
| 141 | |
| 148 | |
| 152 | |
| 154 | |
| 157 | |
| 164 | |
| 171 | |
| 181 | |
| 216 | |
| 217 | |
| 224 | |
| 226 | |
| 232 | |
| 240 | |
| 241 | |
| 247 | |
| 248 | |
| 270 | |
| 271 | |
| 281 | |
| 295 | |
| 303 | |
| 309 | |
| 326 | |
| 327 | |
| 329 | |
| 330 | |
| 337 | |
| 338 | |
| 339 | |
| 346 | |
| 361 | |
| 373 | |
| 447 | |
| 454 | |
| 461 | |
| 488 | |
| 493 | |
기타 출판본 - 모두 보기
자주 나오는 단어 및 구문
amount application approval assets authority bank holding company broker or dealer centum Commission may prescribe contract corporation court creditors debtor debtor in possession directly or indirectly directors effective date face-amount certificate face-amount certificate company filed indenture trustee instrumentality of interstate interstate commerce investment adviser investors or consumers issuer jurisdiction liability licensee mails means or instrumentality national securities exchange necessary or appropriate notice and opportunity obligor officer opportunity for hearing order thereunder otherwise pany paragraph payment petition prior proceeding prospectus protection of investors public interest public utility purchase purposes pursuant reasonable registered holding company registered investment company registration statement regulation thereunder regulations or order respect rule or regulation rules and regulations Securities Act Securities Exchange Act security issued specified stockholders suant subsection subsidiary company thereof tion transaction underwriter unit investment trust United unlawful unless violation voting securities
인기 인용구
256 페이지 - Commission, on the ground that the testimony or evidence, documentary or otherwise, required of him, may tend to incriminate him or subject him to a penalty or forfeiture; but no individual shall be prosecuted or subjected 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 selfincrimination...
8 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...
45 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.
51 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.
15 페이지 - Board, on the ground that the testimony or evidence required of him may tend to incriminate him or subject him to a penalty or forfeiture; but no individual shall be prosecuted or subjected 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, except that such individual so testifying shall not be exempt from prosecution and punishment for...
118 페이지 - If a witness whose testimony may be desired to be taken by deposition be in a foreign country, the deposition may be taken before an officer or person designated by the Commission, or agreed upon by the parties by stipulation in writing to be filed with the Commission.
87 페이지 - ... any profit realized by him from any purchase and sale, or any sale and purchase, of any equity security of such issuer (other than an exempted security) within any period of less than six months, unless such security was acquired in good faith in connection with a debt previously contracted, shall inure to and be recoverable by the...
119 페이지 - Congress and to submit therewith recommendations for additional legislation; and to provide for the publication of its reports and decisions in such form and manner as may be best adapted for public information and use.
203 페이지 - underwriter" means any person who has purchased from an issuer with a view to, or offers or sells for an issuer in connection with, the distribution of any security, or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in the direct or indirect underwriting of any such undertaking; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary...
14 페이지 - Commission deems it necessary or desirable, of separate and/or consolidated balance sheets or income accounts of any person directly <or indirectly controlling or controlled by the issuer, or any person under direct or indirect common control with the issuer...