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 14
... party denying the same . The affixing of any signature without the authority of the purported signer shall constitute a violation of this title . A registration statement shall be deemed effective only as to the securities specified ...
... party denying the same . The affixing of any signature without the authority of the purported signer shall constitute a violation of this title . A registration statement shall be deemed effective only as to the securities specified ...
Pagina 21
... 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 failure to adduce such ...
... 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 failure to adduce such ...
Pagina 25
... party litigant , upon the motion of the other party litigant , such costs may be assessed in favor of such party litigant ( whether or not such undertaking has been required ) if the court believes the suit or the defense to have been ...
... party litigant , upon the motion of the other party litigant , such costs may be assessed in favor of such party litigant ( whether or not such undertaking has been required ) if the court believes the suit or the defense to have been ...
Pagina 28
... party alleging( 1 ) an untrue statement or omission of a material fact in connection with the purchase or sale of a covered security ; or ( 2 ) that the defendant used or employed any manipulative or deceptive device or contrivance in ...
... party alleging( 1 ) an untrue statement or omission of a material fact in connection with the purchase or sale of a covered security ; or ( 2 ) that the defendant used or employed any manipulative or deceptive device or contrivance in ...
Pagina 29
... party to the agreement or a successor to such party . ( 4 ) REMAND OF REMOVED ACTIONS . — In an action that has been removed from a State court pursuant to subsection ( c ) , if the Federal court determines that the action may be ...
... party to the agreement or a successor to such party . ( 4 ) REMAND OF REMOVED ACTIONS . — In an action that has been removed from a State court pursuant to subsection ( c ) , if the Federal court determines that the action may 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