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 4
... person directly or indirectly controlling or controlled by an issuer , or under direct or indirect common control with an issuer ) and any underwriter or among underwriters who are or are to be in privity of contract with an issuer ( or ...
... person directly or indirectly controlling or controlled by an issuer , or under direct or indirect common control with an issuer ) and any underwriter or among underwriters who are or are to be in privity of contract with an issuer ( or ...
Pagina 19
... person is violating , has violated , or is about to violate any provision of this title , or any rule or regulation thereunder , the Commission may publish its findings and enter an order requiring such person , and any other person ...
... person is violating , has violated , or is about to violate any provision of this title , or any rule or regulation thereunder , the Commission may publish its findings and enter an order requiring such person , and any other person ...
Pagina 23
... person who was a director of ( or person performing similar functions ) or partner in , the issuer at the time of the filing of the part of the registration statement with respect to which his liability is asserted ; ( 3 ) every person ...
... person who was a director of ( or person performing similar functions ) or partner in , the issuer at the time of the filing of the part of the registration statement with respect to which his liability is asserted ; ( 3 ) every person ...
Pagina 26
... person who , if sued separately , would have been liable to make the same payment , unless the person who has become liable was , and the other was not , guilty of fraudulent misrepresentation . ( 2 ) ( A ) The liability of an outside ...
... person who , if sued separately , would have been liable to make the same payment , unless the person who has become liable was , and the other was not , guilty of fraudulent misrepresentation . ( 2 ) ( A ) The liability of an outside ...
Pagina 27
... person liable under section 11 or 12 , shall also be liable jointly and severally with and to the same extent as such controlled person to any person to whom such controlled person is liable , unless the controlling person had no ...
... person liable under section 11 or 12 , shall also be liable jointly and severally with and to the same extent as such controlled person to any person to whom such controlled person is liable , unless the controlling person had no ...
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