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 |
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Página 3
... organization , or a government or political subdivision thereof . As used in this paragraph the term " trust " shall include only a trust where the interest or interests of the beneficiary or beneficiaries are evidenced by a security ...
... organization , or a government or political subdivision thereof . As used in this paragraph the term " trust " shall include only a trust where the interest or interests of the beneficiary or beneficiaries are evidenced by a security ...
Página 8
... organized under the laws of any State , territory , or the District of Columbia , the business of which is ... organization exempt from tax under section 521 of the Internal Revenue Code of 1954,2 ( ii ) a corporation described ...
... organized under the laws of any State , territory , or the District of Columbia , the business of which is ... organization exempt from tax under section 521 of the Internal Revenue Code of 1954,2 ( ii ) a corporation described ...
Página 26
... organization registered under section 15A of the Securities Exchange Act of 1934 , except that this subparagraph does not apply to the laws , rules , regulations , or orders , or other adminis- trative actions of the State of ...
... organization registered under section 15A of the Securities Exchange Act of 1934 , except that this subparagraph does not apply to the laws , rules , regulations , or orders , or other adminis- trative actions of the State of ...
Página 31
... organization , or group referred to in section 503 of the Small Business Investment Incentive Act of 1980 , while such forum , agency , organization , or group is carrying out activities in furtherance of the provisions of such section ...
... organization , or group referred to in section 503 of the Small Business Investment Incentive Act of 1980 , while such forum , agency , organization , or group is carrying out activities in furtherance of the provisions of such section ...
Página 38
... organization , if the issuer is a partnership , unincorporated association , joint - stock company , or any other form of organization ; and ( 32 ) a copy of the underlying agreements or indentures affect- ing any stock , bonds , or ...
... organization , if the issuer is a partnership , unincorporated association , joint - stock company , or any other form of organization ; and ( 32 ) a copy of the underlying agreements or indentures affect- ing any stock , bonds , or ...
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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...