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 |
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Página 3
... mails , and to prevent frauds in the sale thereof , and for other purposes . Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled , TITLE I SHORT TITLE SECTION 1. [ 77a ] This ...
... mails , and to prevent frauds in the sale thereof , and for other purposes . Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled , TITLE I SHORT TITLE SECTION 1. [ 77a ] This ...
Página 12
... mails to sell such security through the use or medium of any pro- spectus or otherwise ; or ( 2 ) to carry or cause to be carried through the mails or in interstate commerce , by any means or instruments of transpor- tation , any such ...
... mails to sell such security through the use or medium of any pro- spectus or otherwise ; or ( 2 ) to carry or cause to be carried through the mails or in interstate commerce , by any means or instruments of transpor- tation , any such ...
Página 21
... mails , by means of a prospectus or oral communication , which includes an untrue statement of a material fact or omits to state a material fact necessary in order to make the state- ments , in the light of the circumstances under which ...
... mails , by means of a prospectus or oral communication , which includes an untrue statement of a material fact or omits to state a material fact necessary in order to make the state- ments , in the light of the circumstances under which ...
Página 22
... mails , directly or indirectly— ( 1 ) to employ any device , scheme , or artifice to defraud , or ( 2 ) to obtain money or property by means of any untrue statement of a material fact or any omission to state a materi- al fact necessary ...
... mails , directly or indirectly— ( 1 ) to employ any device , scheme , or artifice to defraud , or ( 2 ) to obtain money or property by means of any untrue statement of a material fact or any omission to state a materi- al fact necessary ...
Página 39
... mails , to prevent inequitable and unfair practices on such exchanges and markets , and for other purposes . Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled , TITLE I ...
... mails , to prevent inequitable and unfair practices on such exchanges and markets , and for other purposes . Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled , TITLE I ...
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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