Compilation of Securities Laws Within the Jurisdiction of the Committee on 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 of 1940, Investment Advisors Act of 1940, Securities Investor Protection Act of 1970 |
From inside the book
Results 1-5 of 100
Page 6
... engaged in rulemaking and is required to consider or determine whether an action is necessary or appro- priate in the public interest , the Commission shall also consider , in addition to the protection of investors , whether the action ...
... engaged in rulemaking and is required to consider or determine whether an action is necessary or appro- priate in the public interest , the Commission shall also consider , in addition to the protection of investors , whether the action ...
Page 34
... engaged or about to engage in any acts or practices which constitute or will constitute a violation of the provisions of this title , or of any rule or regulation prescribed under authority there- of , the Commission may , in its ...
... engaged or about to engage in any acts or practices which constitute or will constitute a violation of the provisions of this title , or of any rule or regulation prescribed under authority there- of , the Commission may , in its ...
Page 60
... engaged in interstate commerce ; ( d ) involve the use of credit , directly affect the financing of trade , industry , and transpor- tation in interstate commerce , and directly affect and influence the volume of interstate commerce ...
... engaged in interstate commerce ; ( d ) involve the use of credit , directly affect the financing of trade , industry , and transpor- tation in interstate commerce , and directly affect and influence the volume of interstate commerce ...
Page 61
... engaged in the business of effecting transactions in securities for the account of others , but does not include a bank . ( 5 ) The term " dealer " means any person engaged in the business of buying and selling securities for his own ...
... engaged in the business of effecting transactions in securities for the account of others , but does not include a bank . ( 5 ) The term " dealer " means any person engaged in the business of buying and selling securities for his own ...
Page 61
... engaged in the business of ( i ) collecting , processing , or preparing for distribution or publication , or assisting , par- ticipating in , or coordinating the distribution or publication of , information with respect to transactions ...
... engaged in the business of ( i ) collecting , processing , or preparing for distribution or publication , or assisting , par- ticipating in , or coordinating the distribution or publication of , information with respect to transactions ...
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Common terms and phrases
action amount application appropriate regulatory agency assets authority bank bank holding company Board broker or dealer business development company centum certificate clearing agency Commis Commission Commodity Exchange Act contract Corporation court curities deemed determines directly or indirectly directors effect employee exempt Federal Reserve System fees filed foreign government securities broker government securities dealer holders holding company interstate commerce investment adviser issuer ment municipal securities dealer national securities exchange necessary or appropriate notice officer paragraph participation payment penny stock plaintiff prescribe proceeding protection of investors provisions public interest purchase purposes pursuant to section reasonable records registration statement respect rities rule or regulation rules and regulations secu Securities Exchange Act security issued self-regulatory organization sion SIPC specified subparagraph subsection term thereof tion transactions trustee underwriter unit investment trust United States Code unlawful violation
Popular passages
Page 86 - 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 501 - 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 590 - 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 17 - 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.
Page 381 - ... 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...
Page 552 - ... (10) establish appropriate administrative, technical, and physical safeguards to insure the security and confidentiality of records and to protect against any anticipated threats or hazards to their security or integrity which could result in substantial harm, embarrassment, inconvenience, or unfairness to any individual on whom information is maintained...
Page 545 - For purposes of this section, the term "agency" as defined in section 551(1) of this title includes any executive department, military department, Government corporation, Government controlled corporation, or other establishment in the executive branch of the Government (including the Executive Office of the President), or any independent...
Page 471 - 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...
Page 294 - Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper. The Commission may modify its findings as to the facts, or make new findings, by reason of the additional evidence so taken, and it shall file such modified or new findings, which,, if supported by evidence, shall be conclusive, and its recommendation, if any.