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, 1985 |
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Página 6
... agent , broker , or principal , in the business of offering , buying , selling , or otherwise dealing or trading in securities issued by another person . ( 13 ) The term " insurance company " means a company which is organized as an ...
... agent , broker , or principal , in the business of offering , buying , selling , or otherwise dealing or trading in securities issued by another person . ( 13 ) The term " insurance company " means a company which is organized as an ...
Página 26
... agent in the United States authorized to receive notice ; ( 4 ) the names and addresses of the directors or persons perform- ing similar functions , and the chief executive , financial and ac- counting officers , chosen or to be chosen ...
... agent in the United States authorized to receive notice ; ( 4 ) the names and addresses of the directors or persons perform- ing similar functions , and the chief executive , financial and ac- counting officers , chosen or to be chosen ...
Página 31
... agent , if any , in the United States ; ( 8 ) the estimated net proceeds to be derived from the sale in the United States of the security to be offered ; ( 9 ) the price at which it is proposed that the security shall be of- fered in ...
... agent , if any , in the United States ; ( 8 ) the estimated net proceeds to be derived from the sale in the United States of the security to be offered ; ( 9 ) the price at which it is proposed that the security shall be of- fered in ...
Página 32
... agents , or dealers in foreign securities information relative to the original or present holders of foreign securities and such other information as may be required and to issue subpenas there- for ; to take over the functions of any ...
... agents , or dealers in foreign securities information relative to the original or present holders of foreign securities and such other information as may be required and to issue subpenas there- for ; to take over the functions of any ...
Página 33
... agents ; and to prescribe , amend , and repeal , by its board of directors , bylaws , rules , and regulations governing the manner in which its general business may be con- ducted and the powers granted to it by law may be exercised and ...
... agents ; and to prescribe , amend , and repeal , by its board of directors , bylaws , rules , and regulations governing the manner in which its general business may be con- ducted and the powers granted to it by law may be exercised and ...
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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
Pasajes populares
Página 320 - 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 321 - 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 253 - ... 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 139 - 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. The Commission may transmit such evidence as may be available concerning such acts or practices to the Attorney General^ who may, in his discretion, institute the necessary criminal proceedings under this title.
Página 369 - 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 34 - 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 16 - If either party shall apply to the court for leave to adduce additional evidence and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for the failure to adduce such evidence in the proceeding before the Commission, the court may order such additional evidence to be taken before the Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper.
Página 22 - It shall be unlawful for any person in the offer or sale of any securities by the use of any means or instruments of transportation or communication in interstate commerce or by the use of the mails, directly or indirectly — (1) to employ any device, scheme, or artifice to defraud...
Página 397 - ... 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...