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, 1989
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accordance action adviser agency agent amended amount application assets association authority bank Board broker broker or dealer centum certificate clearing agency Commission contained contract corporation court deemed determine directly directors distribution effect employee engaged exempt Federal filed finds foreign government securities hearing holders holding company indenture individual institution investment company issued issuer limited loan mails means meeting ment municipal securities necessary or appropriate notice offer officer operations organization otherwise outstanding paragraph participant payment period person prescribe principal prior proceeding proposed protection of investors provisions public interest purchase pursuant reasonable records registered regulatory relating request respect rules and regulations securities dealer securities exchange sion SIPC specified statement subparagraph subsection term thereof tion trading transactions transfer trustee underwriter United unless violation voting
3 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 - 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...
514 페이지 - Whoever, having devised or intending to devise any scheme or artifice to defraud, or for obtaining money or property by means of false or fraudulent pretenses, representations, or promises...
454 페이지 - Every party shall have the right to present his case or defense by oral or documentary evidence, to submit rebuttal evidence, and to conduct such cross-examination as may be required for a full and true disclosure of the facts.
521 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.
151 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.
173 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.
423 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...