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 12
... specify by rules and regulations or order , and ( C ) transactions as to securities constituting the whole or a part ... specified in subparagraph ( A ) ( i ) to any institution described in such subparagraph or to any insurance company ...
... specify by rules and regulations or order , and ( C ) transactions as to securities constituting the whole or a part ... specified in subparagraph ( A ) ( i ) to any institution described in such subparagraph or to any insurance company ...
Pagina 16
... specified in Schedule A , and when relating to a security issued by a foreign government , or political subdivision thereof , shall contain the information , and be accompanied by the documents , specified in Schedule B ; except that ...
... specified in Schedule A , and when relating to a security issued by a foreign government , or political subdivision thereof , shall contain the information , and be accompanied by the documents , specified in Schedule B ; except that ...
Pagina 19
... specify in such order . Any such order may , as the Commission deems appropriate , require future compliance or steps to ... specified in the notice instituting proceedings pursuant to subsection ( a ) , or the continuation thereof , is ...
... specify in such order . Any such order may , as the Commission deems appropriate , require future compliance or steps to ... specified in the notice instituting proceedings pursuant to subsection ( a ) , or the continuation thereof , is ...
Pagina 26
... specified in subsection ( a ) shall be jointly and severally liable , and every person who becomes liable to make any payment under this section may recover contribution as in cases of contract from any person who , if sued separately ...
... specified in subsection ( a ) shall be jointly and severally liable , and every person who becomes liable to make any payment under this section may recover contribution as in cases of contract from any person who , if sued separately ...
Pagina 49
... specified by rule or regulation of the Commission . ( 2 ) INVESTMENT COMPANY . — The term " investment company ” has the same meaning as in section 3 ( a ) of the Investment Company Act of 1940 . ( 3 ) PENNY STOCK.The term “ penny stock ...
... specified by rule or regulation of the Commission . ( 2 ) INVESTMENT COMPANY . — The term " investment company ” has the same meaning as in section 3 ( a ) of the Investment Company Act of 1940 . ( 3 ) PENNY STOCK.The term “ penny stock ...
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