Trust Indenture Act of 1939 as in Effect June 4, 1975U. S. Securities and Exchange Commission, 1977 - 25 páginas |
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... regulation _ - _ 303 Definitions____ 304 Exempted securities and transactions___ 305 306 Securities required to be ... Rules , regulations , and orders_ . 2222 320 Hearings by Commission____ 23 321 Special powers of the Commission___ ...
... regulation _ - _ 303 Definitions____ 304 Exempted securities and transactions___ 305 306 Securities required to be ... Rules , regulations , and orders_ . 2222 320 Hearings by Commission____ 23 321 Special powers of the Commission___ ...
Página 2
... rules or regulations under paragraphs ( 1 ) ( 2 ) of subsection ( b ) of section 306 ) and , in addition , does no more than identify the security , state the price thereof , state by whom orders will be executed and contain such other ...
... rules or regulations under paragraphs ( 1 ) ( 2 ) of subsection ( b ) of section 306 ) and , in addition , does no more than identify the security , state the price thereof , state by whom orders will be executed and contain such other ...
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United States. formation as the Commission , by rules or regulations deemed necessary or appropri- ate in the public interest or for the protec- tion of investors , and subject to such terms . and conditions as may be prescribed there ...
United States. formation as the Commission , by rules or regulations deemed necessary or appropri- ate in the public interest or for the protec- tion of investors , and subject to such terms . and conditions as may be prescribed there ...
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... Law 89 754 ( 80 Stat . 1278 ) added para . ( 10 ) . Public No. 577 , x3d Cong .. ( 68 Stat . 687 ) deleted " as here- tofore ... rules and regulations , and subject to such terms and conditions as may be prescribed here- in , add to the ...
... Law 89 754 ( 80 Stat . 1278 ) added para . ( 10 ) . Public No. 577 , x3d Cong .. ( 68 Stat . 687 ) deleted " as here- tofore ... rules and regulations , and subject to such terms and conditions as may be prescribed here- in , add to the ...
Página 6
... rules and regulations as neces- sary and appropriate in the public interest or for the protection of investors , as though such inclusion were required by section 10 of the Se- curities Act of 1933 , a written statement con- taining the ...
... rules and regulations as neces- sary and appropriate in the public interest or for the protection of investors , as though such inclusion were required by section 10 of the Se- curities Act of 1933 , a written statement con- taining the ...
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.