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, 1988 |
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Common terms and phrases
accordance action agency agent amended amount application assets association authority bank Board broker broker or dealer centum certificate clearing agency Commission contained contract corporation court deemed determine directly directors effect employee engaged exempt Federal filed finds government securities hearing holders holding company indenture indirectly individual institution investment company issued issuer limited loan mails means meeting ment municipal securities necessary or appropriate notice obligations offer officer operations organization otherwise outstanding paragraph participant payment period person prescribe principal prior proceeding proposed protection of investors provisions public interest purchase pursuant reasonable records registered regulatory relating request Reserve respect rules and regulations securities dealer securities exchange sion SIPC specified statement subsection term thereof thereunder tion transactions transfer trustee underwriter United unlawful unless violation voting
Popular passages
Page 273 - ... 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.
Page 390 - Is authorized to use as a public debt transaction the proceeds from the sale of any securities issued under the Second Liberty Bond Act...
Page 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...
Page 444 - Every party shall have the right to present his case or defense by oral or documentary evidence, to submit rebuttal evidence, and to conduct such cross-examination as may be required for a full and true disclosure of the facts.
Page 509 - 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.
Page 152 - 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.
Page 221 - ... 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.
Page 419 - Each agency, in accordance with published rules, shall make available for public inspection and copying — (A) final opinions, including concurring and dissenting opinions, as well as orders, made in the adjudication of cases; (B) those statements of policy and interpretations which have been adopted by the agency and are not published in the Federal Register...
Page 72 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails or of any facility of any national securities exchange...
Page 365 - ... 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...
Bibliographic information
| Title | Compilation of Securities Laws Within the Jurisdiction of the Committee on Energy and Commerce: Including Securities Act of 1933, Securities Exchange Act of 1934 ... |
| Author | United States |
| Contributor | United States. Congress. House. Committee on Energy and Commerce |
| Publisher | U.S. Government Printing Office, 1988 |
| Export Citation | BiBTeX EndNote RefMan |