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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12 ÆäÀÌÁö
... applicant shall pay to the Commission a fee of one - fiftieth of 1 per centum of the maximum aggregate price at which such securities are pro- posed to be offered , but in no case shall Sec . 6 12 SECURITIES ACT OF 1933.
... applicant shall pay to the Commission a fee of one - fiftieth of 1 per centum of the maximum aggregate price at which such securities are pro- posed to be offered , but in no case shall Sec . 6 12 SECURITIES ACT OF 1933.
26 ÆäÀÌÁö
... centum of any class of stock of the issuer , or more than 10 per centum in the ag- gregate of the outstanding stock of the issuer as of a date within twenty days prior to the filing of the registration statement ; ( 7 ) the amount of ...
... centum of any class of stock of the issuer , or more than 10 per centum in the ag- gregate of the outstanding stock of the issuer as of a date within twenty days prior to the filing of the registration statement ; ( 7 ) the amount of ...
27 ÆäÀÌÁö
... centum in the aggregate of such options ; ( 11 ) the amount of capital stock of each class issued or included in the shares of stock to be offered ; ( 12 ) the amount of the funded debt outstanding and to be created by the security to ...
... centum in the aggregate of such options ; ( 11 ) the amount of capital stock of each class issued or included in the shares of stock to be offered ; ( 12 ) the amount of the funded debt outstanding and to be created by the security to ...
28 ÆäÀÌÁö
... centum of any class of stock or more than 10 per centum in the aggregate of the stock of the issuer , in any property acquired , not in the ordinary course of busi- ness of the issuer , within two years preceding the filing of the reg ...
... centum of any class of stock or more than 10 per centum in the aggregate of the stock of the issuer , in any property acquired , not in the ordinary course of busi- ness of the issuer , within two years preceding the filing of the reg ...
33 ÆäÀÌÁö
... centum of the securities deposited with the Corpora- tion shall be obtained . ( 5 ) Undertake , superintend , or take part in the collection and application of funds derived from foreign securities which come into the possession of or ...
... centum of the securities deposited with the Corpora- tion shall be obtained . ( 5 ) Undertake , superintend , or take part in the collection and application of funds derived from foreign securities which come into the possession of or ...
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amount application appropriate regulatory agency assets authority bank Board broker or dealer business development company centum certificate clearing agency Commis Commission Commodity Exchange Act contract corporation court curities debtor determine directly or indirectly directors effect employee exempt face-amount certificate company Federal Federal Reserve System filed government securities broker holding company indenture securities interstate commerce investment adviser issuer mails means or instrumentality ment municipal securities dealer national securities exchange necessary or appropriate officer outstanding paragraph participant payment person associated proceeding protection of investors provisions public interest purchase purposes pursuant to section reasonable registered investment company registration statement respect rules and regulations rules or regulations secu Securities Act securities issued security holders self-regulatory organization sion SIPC specified suant subparagraph subsection term tion transactions transfer agent trustee unit investment trust United States Code unlawful unless violation voting securities
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1 ÆäÀÌÁö - ... 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.
392 ÆäÀÌÁö - Treasury is authorized and directed to purchase any notes and other obligations issued hereunder and for that purpose he is authorized to use as a public debt transaction the proceeds from the sale of any securities issued under the Second Liberty Bond Act...
13 ÆäÀÌÁö - 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...
512 ÆäÀÌÁö - 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...
452 ÆäÀÌÁö - 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.
519 ÆäÀÌÁö - 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 ÆäÀÌÁö - 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.
171 ÆäÀÌÁö - 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.
421 ÆäÀÌÁö - 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...
69 ÆäÀÌÁö - 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...