Trust Indenture Act of 1939 as in Effect June 4, 1975U. S. Securities and Exchange Commission, 1977 - 25 páginas |
Dentro del libro
Resultados 1-5 de 7
Página 3
... 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 par ...
... 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 par ...
Página 4
... issuer or bona fide offered to the public , but this exemption shall not apply to any new offering of any such security by an issuer subsequent to such six months ; ( 4 ) ( A ) any security exempted from the provisions of the Securities ...
... issuer or bona fide offered to the public , but this exemption shall not apply to any new offering of any such security by an issuer subsequent to such six months ; ( 4 ) ( A ) any security exempted from the provisions of the Securities ...
Página 5
... issuer ; or ( 10 ) any security issued under a mort- gage or trust deed indenture as to which a contract of insurance under Title XI of the National Housing Act is in effect : and any such security shall be deemed to be exempt from the ...
... issuer ; or ( 10 ) any security issued under a mort- gage or trust deed indenture as to which a contract of insurance under Title XI of the National Housing Act is in effect : and any such security shall be deemed to be exempt from the ...
Página 6
... issuer such order shall be entered within . a reasonable time after such opportunity for hearing . ' 1 Amended by ... issuer , opportunity for hearing thereon . Such order shall be entered prior to the effective date of registration ...
... issuer such order shall be entered within . a reasonable time after such opportunity for hearing . ' 1 Amended by ... issuer , opportunity for hearing thereon . Such order shall be entered prior to the effective date of registration ...
Página 7
... issuer of such secu- rity . Each such application shall be in such form , and shall be signed in such manner , as the Commission may by rules and regulations pre- 1 Amended by Public No. 577 , 83d Cong . , ( 68 Stat . 687 ) . Prior to ...
... issuer of such secu- rity . Each such application shall be in such form , and shall be signed in such manner , as the Commission may by rules and regulations pre- 1 Amended by Public No. 577 , 83d Cong . , ( 68 Stat . 687 ) . Prior to ...
Términos y frases comunes
68 Stat 83d Cong aggregate principal amount appraiser Atchafalaya River authentication and delivery bankruptcy centum certificate of interest certificate or opinion claim Commis creditor curities deemed default denture equipment trust certificate EXCHANGE COMMISSION exempted fair value Federal filed hearing thereon Holding Company Act indebtedness inden indenture provisions indenture security holders indenture trustee institutional trustee interest or participation issuer jurisdiction lien ligor mails ment merated necessary or appropriate opportunity for hearing paragraph paying agent payment person Phone prior property held prospective trustee protection of investors provisions of section public interest Public Utility Holding quire registration statement regulations prescribed release respect rities rules and regulations section 305 section 310 secu Securities Act SECURITIES AND EXCHANGE Securities Exchange Act securities outstanding securities to furnish security issued sion specified suant subsection tain provisions thereof tion trustee or prospective ture securities underwriter Utility Holding Company voting securities written statement
Pasajes populares
Página 7 - ... (b) It shall be unlawful for any person, directly or indirectly — (1) to make use of any means or instruments of transportation or communication in interstate commerce or of the mails...
Página 23 - 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.
Página 25 - If any provision of this Act, or the application of such provision to any person or circumstance, shall be held invalid, the remainder of this Act, or the application of such provision to persons or circumstances other than those as to which it is held invalid, shall not be affected thereby.
Página 3 - 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...
Página 8 - The Information contained In or filed with any registration statement shall be made available to the public under such regulations as the Commission may prescribe...
Página 23 - The Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation...
Página 5 - ... (e) The Commission may from time to time by its rules and regulations, and subject to such terms and conditions as may be prescribed herein, add to the securities exempted as provided in this section any class of securities issued by a small business investment company under the Small Business Investment Act of 1958...
Página 23 - Commission deems relevant or material to the inquiry. Such attendance of witnesses and the production of any such records may be required from any place in the United States or any State at any designated place of hearing.
Página 24 - 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 24 - Act of 1923, as amended, and is authorized, subject to the civilservice laws, to employ such other officers and employees as may be necessary for carrying out its functions under this Act, and fix their compensation in accordance with the Classification Act of 1923, as amended.