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 12
... proceeding or exami- nation under section 8 . REGISTRATION OF SECURITIES AND SIGNING OF REGISTRATION STATEMENT SEC . 6. [ 77f ] ( a ) Any security may be registered with the Com- mission under the terms and conditions hereinafter ...
... proceeding or exami- nation under section 8 . REGISTRATION OF SECURITIES AND SIGNING OF REGISTRATION STATEMENT SEC . 6. [ 77f ] ( a ) Any security may be registered with the Com- mission under the terms and conditions hereinafter ...
Página 16
... proceedings under subsection ( a ) shall not , unless specifically ordered by the court , operate as a stay of the Commission's order . INFORMATION REQUIRED IN PROSPECTUS SEC . 10. [ 77j ] ( a ) Except to the extent otherwise permitted ...
... proceedings under subsection ( a ) shall not , unless specifically ordered by the court , operate as a stay of the Commission's order . INFORMATION REQUIRED IN PROSPECTUS SEC . 10. [ 77j ] ( a ) Except to the extent otherwise permitted ...
Página 24
... proceeding may be brought either in the district wherein the transmittal of the pro- spectus or security complained of begins , or in the district wherein such prospectus or security is received . ( c ) Upon application of the ...
... proceeding may be brought either in the district wherein the transmittal of the pro- spectus or security complained of begins , or in the district wherein such prospectus or security is received . ( c ) Upon application of the ...
Página 25
... proceeding under this title brought by or against it in the Supreme Court or such other courts . ( b ) In case of contumacy or refusal to obey a subpena issued to any person , any of the said United States courts , within the juris ...
... proceeding under this title brought by or against it in the Supreme Court or such other courts . ( b ) In case of contumacy or refusal to obey a subpena issued to any person , any of the said United States courts , within the juris ...
Página 51
... proceeding before a self - regula- tory organization , any statement which 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 , or has omitted to state ...
... proceeding before a self - regula- tory organization , any statement which 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 , or has omitted to state ...
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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 465 - State of incorporation or 8 percent per annum, whichever is greater, on the value of the consideration for which the stock was issued, and if substantially all such stock (other than nonvoting preferred stock, the owners of which are not entitled or permitted to participate, directly or indirectly, in the profits of the corporation, on dissolution or otherwise, beyond the fixed dividends) is owned by such association, or members thereof; nor shall exemption be denied any such corporation because...
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...