Laws Relating to Securities Commission, Exchanges and Holding CompaniesU.S. Government Printing Office, 1976 |
Dentro del libro
Resultados 1-5 de 100
Página vi
... Board ; initial extension ... Page 80 30 30 81 31 ( b ) Federal Reserve Board may vary margin requirements .. ( c ) Restriction on extension or maintenance of credit by exchange members , brokers and dealers .. ( d ) Restriction on ...
... Board ; initial extension ... Page 80 30 30 81 31 ( b ) Federal Reserve Board may vary margin requirements .. ( c ) Restriction on extension or maintenance of credit by exchange members , brokers and dealers .. ( d ) Restriction on ...
Página vii
... Board by brokers , dealers or other person extending credit ; inspection by Board .. 18. Liability for Misleading Statements ( a ) Nature of liability , undertaking forecasts . ( b ) Persons becoming liable may obtain contribution_ ...
... Board by brokers , dealers or other person extending credit ; inspection by Board .. 18. Liability for Misleading Statements ( a ) Nature of liability , undertaking forecasts . ( b ) Persons becoming liable may obtain contribution_ ...
Página viii
... Board may make rules and regulations .. ( b ) Annual reports to Congress by Commission and Federal Re- serve Board shall include information , data and recommenda- tion for further legislation deemed appropriate .. 24. Information Filed ...
... Board may make rules and regulations .. ( b ) Annual reports to Congress by Commission and Federal Re- serve Board shall include information , data and recommenda- tion for further legislation deemed appropriate .. 24. Information Filed ...
Página xii
... Board__ 9. Amendment to Section 32 of the Securities Exchange Act of 1934 . Section 32 revised in conformity with this Act ; section 32 is now " section 32 ( a ) " ; new subsection 32 ( b ) added thereto .. 10. Effect of this Act on ...
... Board__ 9. Amendment to Section 32 of the Securities Exchange Act of 1934 . Section 32 revised in conformity with this Act ; section 32 is now " section 32 ( a ) " ; new subsection 32 ( b ) added thereto .. 10. Effect of this Act on ...
Página xv
... board .. ( 2 ) Affiliated company . ( 3 ) Affiliated person . ( 4 ) Assignment .. ( 5 ) Bank . Broker Commission .. ( 8 ) Company . ( 9 ) Control .. ( 10 ) Convicted .. ( 11 ) Dealer . ( 12 ) Director .. 196 196 196 197 197 197 198 198 ...
... board .. ( 2 ) Affiliated company . ( 3 ) Affiliated person . ( 4 ) Assignment .. ( 5 ) Bank . Broker Commission .. ( 8 ) Company . ( 9 ) Control .. ( 10 ) Convicted .. ( 11 ) Dealer . ( 12 ) Director .. 196 196 196 197 197 197 198 198 ...
Contenido
| 45 | |
| 51 | |
| 52 | |
| 56 | |
| 57 | |
| 67 | |
| 73 | |
| 74 | |
| 82 | |
| 88 | |
| 94 | |
| 101 | |
| 112 | |
| 115 | |
| 121 | |
| 123 | |
| 129 | |
| 130 | |
| 136 | |
| 146 | |
| 152 | |
| 157 | |
| 164 | |
| 171 | |
| 175 | |
| 181 | |
| 189 | |
| 195 | |
| 196 | |
| 205 | |
| 207 | |
| 208 | |
| 215 | |
| 216 | |
| 232 | |
| 235 | |
| 240 | |
| 241 | |
| 247 | |
| 253 | |
| 258 | |
| 259 | |
| 266 | |
| 271 | |
| 281 | |
| 295 | |
| 303 | |
| 309 | |
| 326 | |
| 328 | |
| 329 | |
| 337 | |
| 346 | |
| 368 | |
| 373 | |
| 379 | |
| 442 | |
Otras ediciones - Ver todas
Laws Relating to Securities Commission, Exchanges and Holding Companies United States Vista completa - 1944 |
Laws Relating to Securities Commission, Exchanges and Holding Companies United States Vista completa - 1973 |
Laws Relating to Securities Commission, Exchanges and Holding Companies United States Vista completa - 1938 |
Términos y frases comunes
application approval assets authority bank holding company Board broker or dealer centum certificate clearing agency Commission may prescribe contract corporation court creditors debtor debtor in possession directly or indirectly directors face-amount certificate company Federal Reserve Board Federal Reserve System filed indenture securities indenture trustee instrumentality of interstate interstate commerce investment adviser investors or consumers issuer jurisdiction liability mails means or instrumentality national securities exchange necessary or appropriate notice and opportunity obligor officer opportunity for hearing otherwise pany paragraph payment prescribe as necessary proceeding protection of investors provisions public interest public-utility company purchase purposes pursuant reasonable registered investment company registration statement regulations thereunder respect rule or regulation rules and regulations Securities Act Securities Exchange Act security holders security issued self-regulatory organization SIPC specified Stat subsection tion transactions underwriter unit investment trust United unlawful violation voting securities
Pasajes populares
Página 15 - Board, on the ground that the testimony or evidence required of him may tend to incriminate him or subject him to a penalty or forfeiture; but no individual shall be prosecuted or subjected to any penalty or forfeiture for or on account of any transaction, matter, or thing concerning which he is compelled, after having claimed his privilege against self-incrimination, to testify or produce evidence, except that such individual so testifying shall not be exempt from prosecution and punishment for...
Página 45 - Commission, there to produce records, if so ordered, or to give testimony touching the matter under investigation or in question; and any failure to obey such order of the court may be punished by such court as a contempt thereof.
Página 63 - ... 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.
Página 123 - The District Courts of the United States, the Supreme Court of the District of Columbia, and the United States courts of any Territory or other place subject to the jurisdiction of the United States shall have exclusive jurisdiction of violations of this Act or...
Página 431 - 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 42 - This subsection shall not be construed to cover any transaction where such beneficial owner was not such both at the time of the purchase and sale, or the sale and purchase, of the security involved, or any transaction or transactions which the Commission by rules and regulations may exempt as not comprehended within the purpose of this subsection.
Página 119 - Congress and to submit therewith recommendations for additional legislation; and to provide for the publication of its reports and decisions in such form and manner as may be best adapted for public information and use.
Página 299 - 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 47 - States within any circuit wherein such person resides or has his principal place of business, or in the United States Court of Appeals for the District of Columbia, by filing in such court, within sixty days after the entry of such order, a written petition praying that the order of the Commission be modified or set aside in whole or in part.
Página 275 - ... (1) to make use of any means or instruments of transportation or communication in interstate commerce or of the mails to sell such security through the use or medium of any prospectus or otherwise; or (2) to carry or cause to be carried through the mails or in interstate commerce, by any means or instruments of transportation, any such security for the purpose of sale or for delivery after sale.