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
... activities , policy and rule- making activities , administration , legal services , and inter- national regulatory activities . ( 2 ) FEE PAYMENT REQUIRED . - At the time of filing a reg- istration statement , the applicant shall pay to ...
... activities , policy and rule- making activities , administration , legal services , and inter- national regulatory activities . ( 2 ) FEE PAYMENT REQUIRED . - At the time of filing a reg- istration statement , the applicant shall pay to ...
Pagina 39
... activities with a broker , dealer , or issuer for purposes of issuing , trading , or inducing or attempt- ing to induce the purchase or sale of , any penny stock . The Commission may , by rule or regulation , define such term to in ...
... activities with a broker , dealer , or issuer for purposes of issuing , trading , or inducing or attempt- ing to induce the purchase or sale of , any penny stock . The Commission may , by rule or regulation , define such term to in ...
Pagina 64
... ACTIVITIES . - A bank shall not be considered to be a broker because the bank en- gages in any one or more of the following activities under the conditions described : ( i ) THIRD PARTY BROKERAGE ARRANGEMENTS . - The bank enters into a ...
... ACTIVITIES . - A bank shall not be considered to be a broker because the bank en- gages in any one or more of the following activities under the conditions described : ( i ) THIRD PARTY BROKERAGE ARRANGEMENTS . - The bank enters into a ...
Pagina 65
... ACTIVITIES . — The bank effects trans- actions in a trustee capacity , or effects transactions in a fiduciary capacity in its trust department or other department that is regularly examined by bank exam- iners for compliance with ...
... ACTIVITIES . — The bank effects trans- actions in a trustee capacity , or effects transactions in a fiduciary capacity in its trust department or other department that is regularly examined by bank exam- iners for compliance with ...
Pagina 66
... activities , in the securities of an issuer as part of any pension , retirement , profit - sharing , bonus , thrift , savings , incentive , or other similar benefit plan for the employees of that issuer or its affili- ates ( as defined ...
... activities , in the securities of an issuer as part of any pension , retirement , profit - sharing , bonus , thrift , savings , incentive , or other similar benefit plan for the employees of that issuer or its affili- ates ( as defined ...
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
action affiliate amendment amount application appropriate regulatory agency assets authority bank holding company Board broker or dealer business development company centum certificate clearing agency Commis Commission Commodity Commodity Exchange Act contract court curities deemed defined in section determines directors effect employee enforcement exempt Federal Federal Reserve System filed financial institution foreign Gramm-Leach-Bliley Act holders investment adviser issuer jurisdiction ment municipal securities dealer national securities exchange necessary or appropriate notice officer pany paragraph participant payment penny stock prescribe proceeding protection of investors provisions public interest purchase purposes pursuant to section records registration statement respect rities rule or regulation rules and regulations Sarbanes-Oxley Act Secretary secu Securities Exchange Act 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 unlawful violation
Pasaje populare
Pagina 3 - ... 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.
Pagina 15 - 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...
Pagina 5 - commerce' means trade, traffic, commerce, transportation, or communication among the several States, or between the District of Columbia or any Territory of the United States and any State or other Territory, or between any foreign country and any State, Territory, or the District of Columbia, or within the District of Columbia or any Territory, or between points in the same State but through any other State or any Territory or the District of Columbia or any foreign country. "(7) The term 'affecting...
Pagina 3 - 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...
Pagina 855 - States, and such guaranty shall be expressed on the face thereof, and such bonds shall be lawful investments, and may be accepted as security for all fiduciary, trust, and public funds, the investment or deposit of which shall be under the authority or control of the United States or any officer or officers thereof.
Pagina 244 - 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.
Pagina 342 - No provision of this title imposing any liability shall apply to any act done or omitted in good faith in conformity with any rule, regulation, or order of the Commission, notwithstanding that such rule, regulation, or order may, after such act or omission, be amended or rescinded or be determined by judicial or other authority to be invalid for any reason.
Pagina 528 - ... 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...
Pagina 63 - 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...
Pagina 277 - ... may be brought in any such district or in the district wherein the defendant is found or is an inhabitant or transacts business, and process in such cases may be served in any other district of which the defendant is an inhabitant or wherever the defendant may be found.