Compilation of Securities Laws Within the Jurisdiction of the Committee on Energy and 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 Advisers Act of 1940, Securities Investor Protection Act of 1970, Market Reform Act of 1990 (section 8), Penny Stock Reform Act of 1990 (sections 504(b) and 510).U.S. Government Printing Office, 1991 - 623 páginas |
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Página 8
... exempt from the provisions of section 5 of this title any interest or participation issued in connection with a ... exempt from tax under section 521 of the Internal Reve- nue Code of 1954,10 ( ii ) a corporation described in section 501 ...
... exempt from the provisions of section 5 of this title any interest or participation issued in connection with a ... exempt from tax under section 521 of the Internal Reve- nue Code of 1954,10 ( ii ) a corporation described in section 501 ...
Página 9
... exempt- ed as provided in this section , if it finds that the enforcement of this title with respect to such ... exempted under this subsec- tion where the aggregate amount at which such issue is offered to the public exceeds $ 5,000,000 ...
... exempt- ed as provided in this section , if it finds that the enforcement of this title with respect to such ... exempted under this subsec- tion where the aggregate amount at which such issue is offered to the public exceeds $ 5,000,000 ...
Página 14
... exempt any issuer or class of issuers from the rules prescribed under paragraph ( 1 ) . ( 3 ) For purposes of paragraph ( 1 ) of this subsection , the term " blank check company " means any development stage company that is issuing a ...
... exempt any issuer or class of issuers from the rules prescribed under paragraph ( 1 ) . ( 3 ) For purposes of paragraph ( 1 ) of this subsection , the term " blank check company " means any development stage company that is issuing a ...
Página 26
... exemption of securities issues applied for in the various States ; ( B ) the development and maintenance of uniform securities forms and procedures ; and ( C ) the development of a uniform exemption from registra- tion for small issuers ...
... exemption of securities issues applied for in the various States ; ( B ) the development and maintenance of uniform securities forms and procedures ; and ( C ) the development of a uniform exemption from registra- tion for small issuers ...
Página 48
... exempt from the operation of any one or more provisions of this title which by their terms do not apply to an " exempted security " or to " exempted securi- ties " 3 ( B ) ( i ) Notwithstanding subparagraph ( A ) ( i ) of this paragraph ...
... exempt from the operation of any one or more provisions of this title which by their terms do not apply to an " exempted security " or to " exempted securi- ties " 3 ( B ) ( i ) Notwithstanding subparagraph ( A ) ( i ) of this paragraph ...
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action amount application appropriate regulatory agency assets authority bank Board broker or dealer broker or government business development company centum certificate clearing agency Commis Commission contract court curities debtor determine directly or indirectly directors effect employee exempt face-amount certificate company Federal Reserve System filed government securities broker government securities dealer holding company indenture securities interstate commerce investment adviser issuer means or instrumentality ment municipal securities dealer national securities exchange necessary or appropriate officer outstanding paragraph participant payment penny stock person associated proceeding protection of investors provisions public interest purchase purposes pursuant to section reasonable registered investment company registration statement respect rules and regulations rules or regulations secu Securities Act securities issued self-regulatory organization sion SIPC specified suant subparagraph subsection term thereof tion transactions transfer agent trustee unit investment trust United States Code unlawful unless violation