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 |
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Página 24
... in con- formity with any rule or regulation of the Commission , notwith- standing that such rule or regulation may , after such act or omis- sion , be amended or rescinded or be determined by Sec . 18 24 SECURITIES ACT OF 1933.
... in con- formity with any rule or regulation of the Commission , notwith- standing that such rule or regulation may , after such act or omis- sion , be amended or rescinded or be determined by Sec . 18 24 SECURITIES ACT OF 1933.
Página 25
... sion , be amended or rescinded or be determined by judicial or other authority to be invalid for any reason . ( b ) For the purpose of all investigations which , in the opinion of the Commission , are necessary and proper for the ...
... sion , be amended or rescinded or be determined by judicial or other authority to be invalid for any reason . ( b ) For the purpose of all investigations which , in the opinion of the Commission , are necessary and proper for the ...
Página 32
... sion shall prescribe ( with intangible items segregated ) , including any loan in excess of $ 20,000 to any officer , director , stockholder or person directly or indirectly controlling or controlled by the is- suer , or person under ...
... sion shall prescribe ( with intangible items segregated ) , including any loan in excess of $ 20,000 to any officer , director , stockholder or person directly or indirectly controlling or controlled by the is- suer , or person under ...
Página 42
... sion's recommendations , including such recommendations for legislation as the Commis- sion deems advisable . ( 2 ) INTERIM INFORMATION TO CONGRESS . - The Commission shall keep the Committee on Energy and Commerce of the House of ...
... sion's recommendations , including such recommendations for legislation as the Commis- sion deems advisable . ( 2 ) INTERIM INFORMATION TO CONGRESS . - The Commission shall keep the Committee on Energy and Commerce of the House of ...
Página 52
... sion ; and ( iv ) the Commission in all other cases . ( D ) When used with respect to an institutional invest- ment manager which is a bank the deposits of which are insured in accordance with the Federal Deposit Insurance Act : ( i ) ...
... sion ; and ( iv ) the Commission in all other cases . ( D ) When used with respect to an institutional invest- ment manager which is a bank the deposits of which are insured in accordance with the Federal Deposit Insurance Act : ( i ) ...
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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.