Compilation of Securities Laws Within the Jurisdiction of the Committee on Financial Services: Including Securities Act of 1933, Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, Trust Indenture Act of 1939, Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970, Selected Provisions of the Gramm-Leach-Bliley Act and the Commodity Futures Modernization Act of 2000U.S. Government Printing Office, 2001 - 852페이지 |
도서 본문에서
100개의 결과 중 1 - 5개
4 페이지
... limited liability of any or all of its members , or in the case of a trust , committee , or other legal entity , the trustees or members thereof shall not be individually liable as issuers of any secu- rity issued by the association ...
... limited liability of any or all of its members , or in the case of a trust , committee , or other legal entity , the trustees or members thereof shall not be individually liable as issuers of any secu- rity issued by the association ...
5 페이지
... limited to a commission from an underwriter or dealer not in excess of the usual and customary distributors ' or sellers ' commission . As used in this paragraph the term " issuer " shall include , in addition to an issuer , any person ...
... limited to a commission from an underwriter or dealer not in excess of the usual and customary distributors ' or sellers ' commission . As used in this paragraph the term " issuer " shall include , in addition to an issuer , any person ...
9 페이지
... limited ; ( 4 ) Any security issued by a person organized and operated exclusively for religious , educational , benevolent , fraternal , charitable , or reformatory purposes and not for pecuniary profit , and no part of the net ...
... limited ; ( 4 ) Any security issued by a person organized and operated exclusively for religious , educational , benevolent , fraternal , charitable , or reformatory purposes and not for pecuniary profit , and no part of the net ...
11 페이지
... limited character of the public offering ; but no issue of securities shall be exempted under this subsection where the aggregate amount at which such issue is of- fered to the public exceeds $ 5,000,000 . ( c ) The Commission may from ...
... limited character of the public offering ; but no issue of securities shall be exempted under this subsection where the aggregate amount at which such issue is of- fered to the public exceeds $ 5,000,000 . ( c ) The Commission may from ...
19 페이지
... limited to , losses to the Securities Investor Protection Corpora- tion , prior to the completion of the proceedings , the Commis- sion may enter a temporary order requiring the respondent to cease and desist from the violation or ...
... limited to , losses to the Securities Investor Protection Corpora- tion , prior to the completion of the proceedings , the Commis- sion may enter a temporary order requiring the respondent to cease and desist from the violation or ...
기타 출판본 - 모두 보기
자주 나오는 단어 및 구문
action affiliate amended amount application appropriate regulatory agency assets authority bank holding company Board broker or dealer business development company centum certificate clearing agency Commission Commodity Commodity Exchange Act contract court deemed defined in section determines directors effect employee exempt Federal Reserve System filed financial institution foreign government securities broker Gramm-Leach-Bliley Act holders indenture securities investment adviser issuer jurisdiction ment municipal securities dealer national securities exchange necessary or appropriate pany paragraph participant payment penny stock prescribe protection of investors provisions public interest purchase purposes pursuant to section records registered investment company registration statement respect rities rule or regulation rules and regulations secu Securities Act Securities Exchange Act securities issued security futures product self-regulatory organization sion SIPC specified subparagraph subsection subsidiary term thereof tion trading transaction trustee underwriter unit investment trust United States Code violation
인기 인용구
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.
20 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...
30 페이지 - ... (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 which they were made, not misleading, or (3) to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser.
3 페이지 - 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 for a security, fractional undivided interest in oil, gas, or other mineral rights, or, in...
160 페이지 - Commission with respect to registration, any statement which was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact...
247 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.
533 페이지 - ... or any rule or regulation thereunder or any undertaking contained in a registration statement as provided in subsection (d) of Section 15 of this title, which statement was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact...
71 페이지 - equity security" means any stock or similar security; or any security convertible, with or without consideration, into such a security, or carrying any warrant or right to subscribe to or purchase such a security; or any such warrant or right; or any other security which the...
423 페이지 - ... 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 distributor's or seller's commission. As used in this paragraph the term "issuer...