| United States. Supreme Court - 1988 - 970 páginas
...insight to realize that such a plaintiff would pursue his case under RICO rather than do so solely under the Securities Act of 1933 or the Securities Exchange Act of 1934, which provide both express and implied causes of action for violations of the federal securities laws.... | |
| United States. Securities and Exchange Commission - 1960 - 326 páginas
...engaging in any practices in connection with the purchase or sale of securities ; (4) willful violation of the Securities Act of 1933 or the Securities Exchange Act of 1934 or any of the Commission's rules and regulations thereunder. Revocation or denial must be preceded by appropriate... | |
| United States. Securities and Exchange Commission - 1812 páginas
...periodic reports or other data filed pursuant to rules or regulations of the Commission adopted under the Securities Act of 1933 or the Securities Exchange Act of 1934, information substantially equivalent to that required in respect of a security duly listed and registered... | |
| United States. Congress. Senate. Committee on Banking and Currency - 1936 - 140 páginas
...continuing any conduct or practice in connection with the purchase or sale of any security; or (4) has wilfully violated any provision of the Securities...or the Securities Exchange Act of 1934 or any rule or regulation duly promulgated thereunder; or (5) has committed any fraud or engaged in any fraudulent... | |
| United States. Congress. Senate. Committee on the Judiciary - 1937 - 846 páginas
...doing business in interstate commerce which have not made any public offerings since the enactment of the Securities Act of 1933 or the Securities Exchange Act of 1934, and whose securities are not listed on any national securities exchange. Accordingly, although the... | |
| United States. Congress. Senate. Committee on Finance - 1939 - 1104 páginas
...nothing in this to£flect on MlstinE title shall affect (1) the jurisdiction of the Commission under the Securities Act of 1933, or the Securities Exchange Act of 1934, or 494|tat^. "• 88l: the Public Utility Holding Company Act of 1935, over any person, ^ u^sccbs. 2A.... | |
| United States. Congress. Senate. Committee on the Judiciary - 1937 - 546 páginas
...doing business in interstate commerce which have not made any public offerings since the enactment of the Securities Act of 1933 or the Securities Exchange Act of 1934, and whose securities are not listed on any national securities exchange. Accordingly, although the... | |
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