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 5
... statement " means the statement provided for in section 6 , and includes any amendment thereto and any report , document , or memorandum filed as part of such statement or incorporated therein by reference . ( 9 ) The term " write " or ...
... statement " means the statement provided for in section 6 , and includes any amendment thereto and any report , document , or memorandum filed as part of such statement or incorporated therein by reference . ( 9 ) The term " write " or ...
Página 10
... statement has been filed taking place prior to the expira- tion of forty days after the effective date of such registra- tion statement or prior to the expiration of forty days after the first date upon which the security was bona fide ...
... statement has been filed taking place prior to the expira- tion of forty days after the effective date of such registra- tion statement or prior to the expiration of forty days after the first date upon which the security was bona fide ...
Página 12
... statement is in effect as to a security , it shall be unlawful for any person , directly or indirect- ly- ( 1 ) to make use of any means or instruments of transporta- tion or communication in interstate commerce or of the mails to sell ...
... statement is in effect as to a security , it shall be unlawful for any person , directly or indirect- ly- ( 1 ) to make use of any means or instruments of transporta- tion or communication in interstate commerce or of the mails to sell ...
Página 13
... statement shall be deemed effective only as to the securities specified therein as proposed to be offered . ( b ) At the time of filing a registration statement the applicant shall pay to the Commission a fee of one - fiftieth of 1 per ...
... statement shall be deemed effective only as to the securities specified therein as proposed to be offered . ( b ) At the time of filing a registration statement the applicant shall pay to the Commission a fee of one - fiftieth of 1 per ...
Página 14
... statement , the written consent of such person shall be filed with the registration statement . If any such person is named as having prepared or certified a report or valuation ( other than a public official document or statement ) ...
... statement , the written consent of such person shall be filed with the registration statement . If any such person is named as having prepared or certified a report or valuation ( other than a public official document or statement ) ...
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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...