Compilation of Securities Laws Within the Jurisdiction of the Committee on Commerce: 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 Advisors Act of 1940, Securities Investor Protection Act of 1970, Volumen4U.S. Government Printing Office, 1997 - 720 páginas |
Dentro del libro
Resultados 1-5 de 100
Página 16
... Commission , prior to the effective date of the reg- istration statement , or filed pursuant to an order of the Commis- sion , shall be treated as a part of the registration statement . ( b ) If it appears to the Commission that a ...
... Commission , prior to the effective date of the reg- istration statement , or filed pursuant to an order of the Commis- sion , shall be treated as a part of the registration statement . ( b ) If it appears to the Commission that a ...
Página 17
... Commission shall so declare and there- upon the stop order shall cease to be effective . ( e ) The Commission is hereby empowered to make an examina- tion in any case in order to determine whether a stop order should issue under ...
... Commission shall so declare and there- upon the stop order shall cease to be effective . ( e ) The Commission is hereby empowered to make an examina- tion in any case in order to determine whether a stop order should issue under ...
Página 18
... Commission deems appropriate pending completion of such proceeding . Such an order shall be entered only after notice and opportunity for a hearing , unless the Commission determines that notice and hearing prior to entry would be im ...
... Commission deems appropriate pending completion of such proceeding . Such an order shall be entered only after notice and opportunity for a hearing , unless the Commission determines that notice and hearing prior to entry would be im ...
Página 19
... Commission on the respondent's application under paragraph ( 1 ) of this subsection . ( 3 ) NO AUTOMATIC STAY OF ... Commission's order . ( 4 ) EXCLUSIVE REVIEW . - Section 9 ( a ) of this title shall not apply to a temporary order ...
... Commission on the respondent's application under paragraph ( 1 ) of this subsection . ( 3 ) NO AUTOMATIC STAY OF ... Commission's order . ( 4 ) EXCLUSIVE REVIEW . - Section 9 ( a ) of this title shall not apply to a temporary order ...
Página 29
... commission ( or any agency or office performing like functions ) of any State from suspending the offer or sale of securities within such State as a result of ... Commission , 29 Sec . 19 SECURITIES ACT OF 1933 Special powers of Commission.
... commission ( or any agency or office performing like functions ) of any State from suspending the offer or sale of securities within such State as a result of ... Commission , 29 Sec . 19 SECURITIES ACT OF 1933 Special powers of Commission.
Otras ediciones - Ver todas
Términos y frases comunes
action affiliate amended amount application appropriate regulatory agency assets authority bank Board broker or dealer business development company centum certificate clearing agency Commis Commission contract court curities deemed determination directors effect employee exempt face-amount certificate company Federal Federal Reserve System fees filed government securities broker government securities dealer indenture securities investment adviser issuer jurisdiction ment municipal securities dealer national securities exchange necessary or appropriate officer otherwise pany paragraph participant payment penny stock proceeding protection of investors provisions public interest public utility purchase purposes pursuant to section reasonable records registered holding company registered investment company registration statement request respect rities rule or regulation rules and regulations secu Securities Act Securities Exchange Act securities issued self-regulatory organization sion SIPC specified Stat subparagraph subsection term tion transaction trustee underwriter unit investment trust United States Code unlawful violation
Pasajes populares
Página 92 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange...
Página 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...
Página 132 - Commission with respect to registration, any statement which 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...
Página 19 - 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 the failure to adduce such evidence in the proceeding before the Commission, the court may order such additional evidence to be taken before the Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper.
Página 518 - A final order, opinion, statement of policy, interpretation, or staff manual or instruction that affects a member of the public may be relied on, used, or cited as precedent by an agency against a party other than an agency only if • (i) it has been indexed and either made available or published as provided by this paragraph; or • (ii) the party has actual and timely notice of the terms thereof.
Página 630 - 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.
Página 238 - ... 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.
Página 205 - 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.
Página 5 - underwriter" means any person who has purchased from an issuer with a view to, or offers or sells for an issuer in connection with, the distribution of any security, or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in the direct or indirect underwriting of any such undertaking; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary...
Página 341 - ... group or index of securities (including any interest therein or based on the value thereof), or any put, call, straddle, option, or privilege entered into on a national securities exchange relating to foreign currency, or, in general, any interest or instrument commonly known as a "security...