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, Gramm-Leach-Bliley Act, Commodity Futures Modernization Act of 2000, Sarbanes-Oxley Act of 2002U.S. Government Printing Office, 2003 - 930 pagini |
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Pagina 8
... paragraph ( 4 ) or ( 6 ) of section 103 ( c ) of such Code ( determined as if paragraphs ( 4 ) ( A ) , ( 5 ) , and ( 7 ) 2 were not included in such section 103 ( c ) ) , paragraph ( 1 ) of such section 103 ( c ) does not apply to such ...
... paragraph ( 4 ) or ( 6 ) of section 103 ( c ) of such Code ( determined as if paragraphs ( 4 ) ( A ) , ( 5 ) , and ( 7 ) 2 were not included in such section 103 ( c ) ) , paragraph ( 1 ) of such section 103 ( c ) does not apply to such ...
Pagina 15
... paragraph ( 2 ) for such fiscal year to a rate that , when applied to the baseline estimate of the aggregate maximum offering prices for such fiscal year , is reasonably likely to produce aggregate fee collections under this subsection ...
... paragraph ( 2 ) for such fiscal year to a rate that , when applied to the baseline estimate of the aggregate maximum offering prices for such fiscal year , is reasonably likely to produce aggregate fee collections under this subsection ...
Pagina 36
... paragraph ( 1 ) of ( 3 ) 1 or any conference or meeting referred to in paragraph ( 4 ) , while such association , conference , or meeting is carrying out activities in furtherance of the provisions of this subsection ; or ( B ) any ...
... paragraph ( 1 ) of ( 3 ) 1 or any conference or meeting referred to in paragraph ( 4 ) , while such association , conference , or meeting is carrying out activities in furtherance of the provisions of this subsection ; or ( B ) any ...
Pagina 53
... paragraph ( 26 ) of this schedule , for the three preceding fiscal years , together with a balance sheet , similarly certified , of such business , meeting the requirements of paragraph ( 25 ) of this schedule of a date not more than ...
... paragraph ( 26 ) of this schedule , for the three preceding fiscal years , together with a balance sheet , similarly certified , of such business , meeting the requirements of paragraph ( 25 ) of this schedule of a date not more than ...
Pagina 81
... paragraph , and in entering such a suspension , expulsion , or order , the Commission , an appropriate regulatory ... paragraph ; ( E ) has associated with him any person who is known , or in the exercise of reasonable care should be ...
... paragraph , and in entering such a suspension , expulsion , or order , the Commission , an appropriate regulatory ... paragraph ; ( E ) has associated with him any person who is known , or in the exercise of reasonable care should be ...
Alte ediții - Afișează-le pe toate
Compilation of Securities Laws Within the Jurisdiction of the Committee on ... United States Vizualizare completă - 2003 |
Compilation of Securities Laws Within the Jurisdiction of the Committee on ... United States Vizualizare completă - 2003 |
Termeni și expresii frecvente
accordance action activities adviser affiliate agency agreement amendment amount application appropriate assets association authority bank Board broker or dealer certificate Commission conduct contract corporation court deemed defined described determines directors effect employee enforcement engaged Exchange Act exempt extent Federal filed financial institution finds foreign futures holders holding company indenture investment company issued issuer jurisdiction limited material means ment necessary or appropriate notice obligations offer officer operations organization otherwise paragraph participant party payment period person prescribe prior procedures proceeding proposed protection of investors provisions public interest purchase pursuant pursuant to section reasonable records registered regulations regulatory relating request respect rules rules and regulations Secretary Securities Exchange sion specified statement subparagraph subsection subsidiary term thereof tion trading transaction transfer trustee United unless violation