Compilation of Securities Laws Within the Jurisdiction of the Committee on Energy and Commerce: Including Securities Act of 1933, Securities Exchange Act of 1934 ...U.S. Government Printing Office, 1987 |
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Página 41
... thereunder , and its own rules . For purposes of sections 6 ( b ) ( 1 ) , 6 ( b ) ( 4 ) , 6 ( b ) ( 6 ) , 6 ( b ) ( 7 ) , 6 ( d ) , 17 ( d ) , 19 ( d ) , 19 ( e ) , 19 ( g ) , 19 ( h ) , and 21 of this title , the term " member " when ...
... thereunder , and its own rules . For purposes of sections 6 ( b ) ( 1 ) , 6 ( b ) ( 4 ) , 6 ( b ) ( 6 ) , 6 ( b ) ( 7 ) , 6 ( d ) , 17 ( d ) , 19 ( d ) , 19 ( e ) , 19 ( g ) , 19 ( h ) , and 21 of this title , the term " member " when ...
Página 57
... thereunder , and the rules of the exchange . ( 2 ) Subject to the provisions of subsection ( c ) of this section , the rules of the exchange provide that any registered broker or dealer or natural person associated with a registered ...
... thereunder , and the rules of the exchange . ( 2 ) Subject to the provisions of subsection ( c ) of this section , the rules of the exchange provide that any registered broker or dealer or natural person associated with a registered ...
Página 59
... thereunder , or the rules of the exchange which any such act or practice , or omission to act , is deemed to violate ; and ( C ) the sanction imposed and the reasons therefor . ( 2 ) In any proceeding by a national securities exchange ...
... thereunder , or the rules of the exchange which any such act or practice , or omission to act , is deemed to violate ; and ( C ) the sanction imposed and the reasons therefor . ( 2 ) In any proceeding by a national securities exchange ...
Página 64
... thereunder . This subsection and the rules and regulations thereunder shall not apply ( A ) to a loan made by a person not in the ordinary course of his business , ( B ) to a loan on an exempted security , ( C ) to a loan to a dealer to ...
... thereunder . This subsection and the rules and regulations thereunder shall not apply ( A ) to a loan made by a person not in the ordinary course of his business , ( B ) to a loan on an exempted security , ( C ) to a loan to a dealer to ...
Página 71
... thereunder , the Commission shall have power , upon application of the exchange and on a show- ing that the rules of such exchange are otherwise adequate for the protection of investors , to exempt such exchange and its members from any ...
... thereunder , the Commission shall have power , upon application of the exchange and on a show- ing that the rules of such exchange are otherwise adequate for the protection of investors , to exempt such exchange and its members from any ...
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Términos y frases comunes
amended amount application appropriate regulatory agency assets bank Board broker or dealer broker or government business development company centum clearing agency Commis Commodity Exchange Act contract court curities debtor determine directly or indirectly directors employee face-amount certificate company Federal Federal Reserve System filed government securities broker government securities dealer holding company indenture securities instrumentality of interstate interstate commerce investment adviser issuer loan mails means or instrumentality ment municipal securities dealer national securities exchange necessary or appropriate officer opportunity for hearing otherwise paragraph participation payment person associated proceeding protection of investors provisions public interest purchase purposes pursuant to section reasonable registered investment company registration statement respect rule or regulation rules and regulations secu Securities Act securities issued security holders self-regulatory organization sion SIPC specified subparagraph subsection term tion transactions trustee unit investment trust United United States Code unlawful voting securities
Pasajes populares
Página 257 - ... security", or any certificate of interest or participation in, temporary or interim certificate for, receipt for, guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing.
Página 376 - Is authorized to use as a public debt transaction the proceeds from the sale of any securities issued under the Second Liberty Bond Act...
Página 325 - Commission, there to produce records, if so ordered, or to give testimony touching the matter under investigation or in question; and any failure to obey such order of the court may be punished by such court as a contempt thereof.
Página 273 - ... or any rule or regulation thereunder or any undertaking contained in a registration statement as provided in subsection (d) of Section 15 of this title, which statement 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 494 - States, and such guaranty shall be expressed on the face thereof, and such bonds shall be lawful investments, and may be accepted as security for all fiduciary, trust, and public funds, the investment or deposit of which shall be under the authority or control of the United States or any officer or officers thereof.
Página 149 - Territory or other place subject to the jurisdiction of the United States, to enjoin such acts or practices, and upon a proper showing a permanent or temporary injunction or restraining order shall be; granted without bond.
Página 405 - Each agency, in accordance with published rules, shall make available for public inspection and copying — (A) final opinions, including concurring and dissenting opinions, as well as orders, made in the adjudication of cases; (B) those statements of policy and interpretations which have been adopted by the agency and are not published in the Federal Register...
Página 67 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails or of any facility of any national securities exchange...
Página 204 - 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 20 - ... (2) to obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading...