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, Volumen4U.S. Government Printing Office, 1985 - 473 páginas |
Dentro del libro
Resultados 1-5 de 33
Página 161
... investors in the securities of holding compa- nies and their subsidiary companies and affiliates , and the interest of consumers of electric energy and natural and manufactured gas , are or may be adversely affected- ( 1 ) when such ...
... investors in the securities of holding compa- nies and their subsidiary companies and affiliates , and the interest of consumers of electric energy and natural and manufactured gas , are or may be adversely affected- ( 1 ) when such ...
Página 162
... Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970 United States ... investors , consumers , and the general public ; and it is hereby declared to be the policy of this title , in ...
... Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970 United States ... investors , consumers , and the general public ; and it is hereby declared to be the policy of this title , in ...
Página 163
... investors or consumers that such company be considered an electric utility company for the purposes of this title , or ( B ) such company is one oper- ating within a single State , and substantially all of its out- standing securities ...
... investors or consumers that such company be considered an electric utility company for the purposes of this title , or ( B ) such company is one oper- ating within a single State , and substantially all of its out- standing securities ...
Página 164
... Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970 United ... consumers that such company be considered a gas utility company for the purposes of this title . The filing of an ...
... Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970 United ... consumers that such company be considered a gas utility company for the purposes of this title . The filing of an ...
Página 165
... investors or consumers that such person be subject to the obligations , duties , and liabilities imposed in this title upon holding companies . The Commission , upon application , shall by order declare that a company is not a holding ...
... investors or consumers that such person be subject to the obligations , duties , and liabilities imposed in this title upon holding companies . The Commission , upon application , shall by order declare that a company is not a holding ...
Otras ediciones - Ver todas
Términos y frases comunes
affiliated person amended amount application appropriate regulatory agency assets bank bank holding company Board broker or dealer business development company centum clearing agency Commis contract corporation court curities debtor directly or indirectly directors employee face-amount certificate company Federal Federal Reserve System filed indenture securities instrumentality of interstate interstate commerce investment adviser investors or consumers issuer mails means or instrumentality ment municipal securities dealer national securities exchange necessary or appropriate obligor officer opportunity for hearing otherwise paragraph participant payment prescribe as necessary proceeding protection of investors provisions public interest public-utility purchase purposes pursuant to section reasonable registered investment company registration statement regulations thereunder respect rule or regulation rules and regulations secu Securities Act securities issued security holders self-regulatory organization sion specified subparagraph subsection subsidiary company term tion transactions trustee unit investment trust United States Code unlawful unless voting securities