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 1970, Volumen4U.S. Government Printing Office, 1993 - 639 páginas |
Dentro del libro
Resultados 1-5 de 99
Página 4
... deemed to be an offer or sale of such other security ; but the issue or transfer of such other security upon the exercise of such right of conversion or subscription shall be deemed a sale of such other security . ( 4 ) The term ...
... deemed to be an offer or sale of such other security ; but the issue or transfer of such other security upon the exercise of such right of conversion or subscription shall be deemed a sale of such other security . ( 4 ) The term ...
Página 5
... deemed a prospectus if it is proved that prior to or at the same time with such communication a written prospectus meeting the requirements of subsection ( a ) of section 10 at the time of such communication was sent or given to the ...
... deemed a prospectus if it is proved that prior to or at the same time with such communication a written prospectus meeting the requirements of subsection ( a ) of section 10 at the time of such communication was sent or given to the ...
Página 12
... 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 centum of the ...
... 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 centum of the ...
Página 13
... deemed to have taken place unless it is accompanied by a United States postal money order or a cer- tified bank check or cash for the amount of the fee required under subsection ( b ) . ( d ) The information contained in or filed with ...
... deemed to have taken place unless it is accompanied by a United States postal money order or a cer- tified bank check or cash for the amount of the fee required under subsection ( b ) . ( d ) The information contained in or filed with ...
Página 18
... deemed necessary or appropriate in the public interest or for the protection of investors permit the use of a prospectus for the purposes of sub- section ( b ) ( 1 ) of section 5 which omits in part or summarizes infor- mation in the ...
... deemed necessary or appropriate in the public interest or for the protection of investors permit the use of a prospectus for the purposes of sub- section ( b ) ( 1 ) of section 5 which omits in part or summarizes infor- mation in the ...
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Términos y frases comunes
action amount application appropriate regulatory agency assets authority bank Board broker or dealer business development company centum certificate clearing agency Commis Commission Commodity Exchange Act contract court curities deemed determine directly or indirectly directors effect employee exempt face-amount certificate company Federal Reserve System filed foreign government securities broker government securities dealer indenture securities interstate commerce investment adviser issuer jurisdiction means or instrumentality ment municipal securities dealer national securities exchange necessary or appropriate officer pany paragraph participant payment penny stock proceeding protection of investors provisions public interest Public Utility purchase purposes pursuant to section reasonable records registered investment company registration statement respect rities rules and regulations rules or regulations secu Securities Act securities issued self-regulatory organization sion SIPC specified subparagraph subsection term thereof tion transactions transfer agent trustee underwriter unit investment trust United States Code unlawful violation
Pasajes populares
Página 1 - ... 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 15 - 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...
Página 570 - Whoever, having devised or intending to devise any scheme or artifice to defraud, or for obtaining money or property by means of false or fraudulent pretenses, representations, or promises...
Página 108 - Commission with respect to registration, 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...
Página 616 - Exemption shall not be denied any such corporation because it has capital stock, if the dividend rate of such stock is fixed at not to exceed the legal rate of interest in the State of incorporation or 8...
Página 577 - 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 170 - 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 403 - ... 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 242 - 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 471 - ... (8) contained in or related to examination, operating, or condition reports prepared by, on behalf of, or for the use of an agency responsible for the regulation or supervision of financial institutions; or (9) geological and geophysical information and data, including maps, concerning wells. Any reasonably segregable portion of a record shall be provided to any person requesting such record after deletion of the portions which are exempt under this subsection.