SEC Reauthorization: Hearing Before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred First Congress, First Session, April 19, 1989, 4권U.S. Government Printing Office, 1989 - 262페이지 |
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자주 나오는 단어 및 구문
activities addition Advisers Act alleged Amex amicus curiae annual reports approval arbitration bank brief argued broker-dealer cash-out CBOE certiorari Chairman Circuit Commerce Clause Commission believes Commission filed Commission's brief concerning CONGRESS THE LIBRARY Corp corporate Court of Appeals disclosure district court Drexel EDGAR enforcement actions Exchange Act Release Exchange Commission exemption federal securities laws fees firm fiscal fraud funds futures contracts holding company increase insider trading interest investment advisers investment company investors issuer issues legislation LIBRARY OF CONGRESS limited partnership litigation merger NASAA NASD Office options participation penny stock Phlx program trading proposed rule changes registered regulatory request requirements RUDER Securities Act Securities and Exchange Securities Exchange Act securities markets shareholders shares SROS staff statements statute statutory stock index subcommittee Supreme Court tender offer transactions underlying portfolio violations Williams Act WYDEN
인기 인용구
198 페이지 - ... any put, call, straddle, option, or privilege on any security, certificate of deposit, or group or index of securities (including any interest therein or based on the value thereof), or any put, call, straddle, option, or privilege entered into on a national securities exchange relating to foreign currency, or, in general, any interest or instrument commonly known as a "security...
198 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...
105 페이지 - It shall be unlawful for any person in the offer or sale of any securities by the use of any means or instruments of transportation or communication in interstate commerce or by the use of the mails, directly or indirectly — (1) to employ any device, scheme, or artifice to defraud, or (2) to obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact necessary in order to make the statements made, in the light of the circumstances under...
19 페이지 - Commission is responsible for the administration and enforcement of the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940. The Commission also serves as adviser to Federal courts in corporate reorganization proceedings under chapter X of the Bankruptcy Act.
198 페이지 - Director" means any director of a corporation or any individual who performs similar functions in respect of any company. (16) "Security" means any note, draft, stock, treasury stock, bond, debenture, certificate of interest or participation in any profit-sharing agreement or in any oil, gas...
105 페이지 - the Commission" shall mean the Commodity Futures Trading Commission established under section 4a of this title. The term "commodity trading advisor" shall mean any person who, for compensation or profit, engages in the business of advising others, either directly or through publications or writings, as to the value of...
105 페이지 - Investment adviser" means any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as a part of a regular business, issues or promulgates analyses or reports concerning securities. "Investment adviser...
217 페이지 - That, except as hereinabove provided, nothing contained in this section shall (i) supersede or limit the jurisdiction at any time conferred on the Securities and Exchange Commission or other regulatory authorities under the laws of the United States or of any State, or (ii) restrict the Securities and Exchange Commission and such other authorities from carrying out their duties and responsibilities in accordance with such laws.
198 페이지 - Short-term paper" means any note, draft, bill of exchange, or banker's acceptance payable on demand or having a maturity at the time of issuance of not exceeding nine months...
105 페이지 - ... the publisher of any bona fide newspaper, news magazine or business or financial publication of general and regular circulation...