Laws Relating to Securities Commission, Exchanges and Holding CompaniesU.S. Government Printing Office, 1968 |
도서 본문에서
78개의 결과 중 1 - 5개
페이지
... payment of the costs of such suit , and assess reasonable costs , including reasonable attorneys ' fees , against either party litigant . Every person who becomes liable to make any payment under this subsection may recover contribution ...
... payment of the costs of such suit , and assess reasonable costs , including reasonable attorneys ' fees , against either party litigant . Every person who becomes liable to make any payment under this subsection may recover contribution ...
페이지
... payments and amount of annual exchange fees_ . 82. Penalties : ( 1 ) Wilful violations__ 46 , 129 46 CN 47 47 47 47 47 47 48 48 IN 00 00 00 ** ** 48 48 49 49 49 49 , 162 49 goo 49 50 50 50 50 50 50 , 129 50 , 129 , 163 51 51 51 51 ( 2 ) ...
... payments and amount of annual exchange fees_ . 82. Penalties : ( 1 ) Wilful violations__ 46 , 129 46 CN 47 47 47 47 47 47 48 48 IN 00 00 00 ** ** 48 48 49 49 49 49 , 162 49 goo 49 50 50 50 50 50 50 , 129 50 , 129 , 163 51 51 51 51 ( 2 ) ...
2 페이지
... payment of a commission or fee or with the payment of a commission or fee which is less than that charged the general public , and includes any firm transacting a business as broker or dealer of which a member is a partner , and any ...
... payment of a commission or fee or with the payment of a commission or fee which is less than that charged the general public , and includes any firm transacting a business as broker or dealer of which a member is a partner , and any ...
5 페이지
... Requirement for voting rights of stock . 231 Provision regarding sale of securities by face - amount certificate companies ; payment of dividends .. 281 19. Dividends .. 232 21-137 O - 68-2 hold office in the following manner : As soon as.
... Requirement for voting rights of stock . 231 Provision regarding sale of securities by face - amount certificate companies ; payment of dividends .. 281 19. Dividends .. 232 21-137 O - 68-2 hold office in the following manner : As soon as.
7 페이지
... payment either of principal or interest , and issue receipts or certificates in the place of securities so deposited . ( 3 ) Appoint committees from the directors of the Corporation and / or all other persons to represent holders of any ...
... payment either of principal or interest , and issue receipts or certificates in the place of securities so deposited . ( 3 ) Appoint committees from the directors of the Corporation and / or all other persons to represent holders of any ...
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기타 출판본 - 모두 보기
자주 나오는 단어 및 구문
accounts affiliate amended amount application approval authority broker or dealer centum certificate of deposit Commission may prescribe contract corporation court creditors debtor debtor in possession deems necessary directly or indirectly electric energy face-amount certificate company Federal Reserve Board filed indenture trustee instrumentality of interstate interstate commerce investors or consumers issuer jurisdiction liability licensee mails means or instrumentality ment national securities exchange necessary or appropriate notice and opportunity obligor officer opportunity for hearing order thereunder otherwise pany paragraph payment person petition prescribe as necessary prior proceeding protection of investors provisions public interest public utility public-utility company purchase purposes pursuant reasonable registered holding company registered investment company registration statement regulations or order regulations thereunder respect rule or regulation rules and regulations Securities Act securities issued specified stockholders subsection subsidiary company thereof tion transactions treasury stock underwriter unit investment trust United unlawful violation
인기 인용구
245 페이지 - ... securities act of 1933, as amended in 1934, are relevant. These sections follow: "Sec. 2. When used in this title, unless the context otherwise requires — "(1) The term '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...
100 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 self-incrimination...
239 페이지 - Commission under this title may obtain a review of such order in the circuit 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, by filing in such court, within sixty days after the entry of such order, a written petition praying that the order of the Commission be modified or set aside in whole or in part.
28 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...
252 페이지 - Commission shall be final, subject to review by the Supreme Court of the United States upon certiorari or certification as provided in sections 239 and 240 of the Judicial Code, as amended. (b) The commencement of proceedings under subsection (a) shall not, unless specifically ordered by the court, operate as a stay of the Commission's order.
45 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.
153 페이지 - Any person who — ( 1 ) offers or sells a security in violation of section 5, or (2) offers or sells a security (whether or not exempted by the provisions of section 3, other than paragraph (2) of subsection (a) thereof), by the use of any means or instruments of transportation or communication in interstate commerce or of the mails...
75 페이지 - Territorial courts, of all suits in equity and actions at law brought to enforce any liability or duty created by, or to enjoin any violation of, this title or the rules, regulations, or orders thereunder.
3 페이지 - ... any note, draft, bill of exchange, or banker's acceptance 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. (11) The term "equity security...
100 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.