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 1970U.S. Government Printing Office, 1985 - 473 páginas |
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Página 1
... unless the context other- wise requires- ( 1 ) The term " security " means any note , stock , treasury stock , bond , debenture , evidence of indebtedness , certificate of interest or participation in any profit - sharing agreement ...
... unless the context other- wise requires- ( 1 ) The term " security " means any note , stock , treasury stock , bond , debenture , evidence of indebtedness , certificate of interest or participation in any profit - sharing agreement ...
Página 12
... unless such prospectus meets the requirements of section 10 ; or ( 2 ) to carry or cause to be carried through the mails or in interstate commerce any such security for the purpose of sale or for delivery after sale , unless accompanied ...
... unless such prospectus meets the requirements of section 10 ; or ( 2 ) to carry or cause to be carried through the mails or in interstate commerce any such security for the purpose of sale or for delivery after sale , unless accompanied ...
Página 14
... unless the Commission dispenses with such filing as impracticable or as involving undue hardship on the person filing the registration statement . Any such registration statement shall contain such other information , and be accompanied ...
... unless the Commission dispenses with such filing as impracticable or as involving undue hardship on the person filing the registration statement . Any such registration statement shall contain such other information , and be accompanied ...
Página 20
... unless such underwriter shall have know- ingly received from the issuer for acting as an underwriter some benefit , directly or indirectly , in which all other underwriters simi- larly situated did not share in proportion to their ...
... unless such underwriter shall have know- ingly received from the issuer for acting as an underwriter some benefit , directly or indirectly , in which all other underwriters simi- larly situated did not share in proportion to their ...
Página 21
... unless brought within one year after the discovery of the untrue statement or the omission , or after such discovery should have been made by the ex- ercise of reasonable diligence , or , if the action is to enforce a liabil- ity ...
... unless brought within one year after the discovery of the untrue statement or the omission , or after such discovery should have been made by the ex- ercise of reasonable diligence , or , if the action is to enforce a liabil- ity ...
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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 Commis compa contract 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 participation period person associated prescribe as necessary prior proceeding protection of investors public interest public-utility purposes pursuant to section reasonable registered investment company registration statement regulations thereunder reserve payments respect rities rule or regulation rules and regulations secu Securities Act Securities Exchange Act securities issued security holders self-regulatory organization sion SIPC specified subparagraph term tion transactions unit investment trust United United States Code unlawful unless
Pasajes populares
Página 322 - Circuit Court of Appeals of the United States, within any circuit wherein such person resides or has his principal place of business, or in the United States Court of Appeals for the District of Columbia, by filing in such court, within sixty days after the entry of such order, a written petition praying that the order of the Commission be modified or set aside in whole or in part.
Página 384 - 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 337 - Such notes or other obligations shall bear interest at a rate determined by the Secretary of the Treasury, taking into consideration the current average market yield on outstanding marketable obligations of the United States of comparable maturities during the month preceding the issuance of the notes or other obligations. The Secretary of the Treasury...
Página 26 - Their successors shall be appointed each for a term of five years from the date of the expiration of the term for which his predecessor was appointed, except that any person appointed to fill a vacancy occurring prior to the expiration of the term of which his predecessor was appointed shall be appointed only for the unexpired term of such predecessor.
Página 323 - The Commission may modify its findings as to the facts by reason of the additional evidence so taken, and it shall file with the court such modified or new findings, which, if supported by substantial evidence, shall be conclusive, and its recommendation, if any, for the modification or setting aside of the original order.
Página 16 - ... (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 material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading...
Página 365 - ... means the whole or a part of an agency statement of general or particular applicability and future effect designed to implement, interpret, or prescribe law or policy...
Página 320 - State at any designated place of hearing. (c) In case of contumacy by, or refusal to obey a subpena issued to, any person, the Commission may invoke the aid of any court of the United States within the jurisdiction of which such investigation or proceeding is carried on, or where such person resides or carries on business, in requiring the attendance and testimony of witnesses and the production of books, papers, correspondence, memoranda, and other records.
Página 19 - Columbia, within the jurisdiction of which the inquiry is carried on or within the jurisdiction of which said person guilty of contumacy or refusal to obey is found or resides or transacts business...