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 |
From inside the book
Results 1-5 of 74
Page 11
... subparagraph ( A ) ( i ) to any institu- tion described in such subparagraph or to any insurance company subject to the supervision of the insurance com- missioner , or any agency or officer performing like func- tion , of any State or ...
... subparagraph ( A ) ( i ) to any institu- tion described in such subparagraph or to any insurance company subject to the supervision of the insurance com- missioner , or any agency or officer performing like func- tion , of any State or ...
Page 43
... subparagraph ( C ) of this paragraph ; and ( v ) such other securities ( which may include , among others ... subparagraph ( A ) ( i ) of this paragraph , government securities shall not be deemed to be " exempted se- curities " for the ...
... subparagraph ( C ) of this paragraph ; and ( v ) such other securities ( which may include , among others ... subparagraph ( A ) ( i ) of this paragraph , government securities shall not be deemed to be " exempted se- curities " for the ...
Page 48
... subparagraph ; ( iii ) the Federal Deposit Insurance Corporation , in the case of a bank insured by the Federal Deposit In- surance Corporation ( other than a member of the Fed- eral Reserve System ) , or a subsidiary thereof ; and ( iv ) ...
... subparagraph ; ( iii ) the Federal Deposit Insurance Corporation , in the case of a bank insured by the Federal Deposit In- surance Corporation ( other than a member of the Fed- eral Reserve System ) , or a subsidiary thereof ; and ( iv ) ...
Page 51
... to be a cause of any effective suspension , expulsion , or order of the charac- ter described in subparagraph ( A ) or ( B ) of this paragraph , and in entering such a suspension , expulsion , or 51 Sec . 3 SECURITIES EXCHANGE ACT OF 1934.
... to be a cause of any effective suspension , expulsion , or order of the charac- ter described in subparagraph ( A ) or ( B ) of this paragraph , and in entering such a suspension , expulsion , or 51 Sec . 3 SECURITIES EXCHANGE ACT OF 1934.
Page 52
... subparagraph ( A ) , ( B ) , or ( C ) of this paragraph ; or ( E ) has committed or omitted any act enumerated in subparagraph ( D ) or ( E ) of paragraph ( 4 ) of section 15 ( b ) of this title , has been convicted of any offense ...
... subparagraph ( A ) , ( B ) , or ( C ) of this paragraph ; or ( E ) has committed or omitted any act enumerated in subparagraph ( D ) or ( E ) of paragraph ( 4 ) of section 15 ( b ) of this title , has been convicted of any offense ...
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Common terms and phrases
amount application appropriate regulatory agency assets bank Board broker or dealer broker or government business development company centum clearing agency Commis Commission Commodity Exchange Act contract corporation court debtor determine directly or indirectly directors effect employee face-amount certificate company Federal Reserve System filed government securities broker government securities dealer holding company indenture securities instrumentality of interstate interstate commerce investment adviser issuer mails means or instrumentality ment municipal securities dealer national securities exchange necessary or appropriate officer otherwise paragraph participant payment person associated proceeding protection of investors provisions public interest purchase purposes pursuant to section reasonable registered investment company registration statement respect rule or regulation rules and regulations secu Securities Act securities issued security holders self-regulatory organization sion SIPC specified subparagraph subsection term tion transactions transfer agent trustee unit investment trust United States Code unlawful voting securities
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...