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
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... functions by Commission 59 59 61 80 82 Sec . 4B . Transfer of functions with respect to assignment of personnel to Chairman 83 Sec . 5. Transactions on unregistered exchanges 883 Sec . 6. National securities exchanges 83 Sec . 7. Margin ...
... functions by Commission 59 59 61 80 82 Sec . 4B . Transfer of functions with respect to assignment of personnel to Chairman 83 Sec . 5. Transactions on unregistered exchanges 883 Sec . 6. National securities exchanges 83 Sec . 7. Margin ...
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... Functions and activities of investment companies Sec . 13. Changes in investment policy Sec . 14. Size of investment companies 392 394 396 402 404 404 410 410 Sec . 15. Investment advisory and underwriting contracts .. Sec Page.
... Functions and activities of investment companies Sec . 13. Changes in investment policy Sec . 14. Size of investment companies 392 394 396 402 404 404 410 410 Sec . 15. Investment advisory and underwriting contracts .. Sec Page.
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... Functions and activities of business development companies Sec . 56. Qualifications of directors 461 463 Sec . 57. Transactions with certain affiliates 464 Sec . 58. Changes in investment policy 469 Sec . 59. Incorporation of provisions ...
... Functions and activities of business development companies Sec . 56. Qualifications of directors 461 463 Sec . 57. Transactions with certain affiliates 464 Sec . 58. Changes in investment policy 469 Sec . 59. Incorporation of provisions ...
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... functions Sec . 13. Functions of self - regulatory organizations Sec . 14. Prohibited acts Sec . 15. Miscellaneous provisions Sec . 16. Definitions Temporary Reporting Provisions : 507 507 507 513 518 523 524 525 529 531 532 534 534 535 ...
... functions Sec . 13. Functions of self - regulatory organizations Sec . 14. Prohibited acts Sec . 15. Miscellaneous provisions Sec . 16. Definitions Temporary Reporting Provisions : 507 507 507 513 518 523 524 525 529 531 532 534 534 535 ...
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... functions ) or of the fixed , restricted management , or unit type , the term " issuer " means the person or persons performing the acts and assuming the duties of depositor or manager pursuant to the provisions of the trust or other ...
... functions ) or of the fixed , restricted management , or unit type , the term " issuer " means the person or persons performing the acts and assuming the duties of depositor or manager pursuant to the provisions of the trust or other ...
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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.