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 9
... hearing upon the fairness of such terms and conditions at which all persons to whom it is proposed to issue securities in such exchange shall have the right to appear , by any court , or by any official or agency of the United States ...
... hearing upon the fairness of such terms and conditions at which all persons to whom it is proposed to issue securities in such exchange shall have the right to appear , by any court , or by any official or agency of the United States ...
Page 16
... hearing ( at a time fixed by the Commission ) within ten days after such notice by personal service or the sending of such telegraphic notice , issue an order prior to the effective date of registration re- fusing to permit such ...
... hearing ( at a time fixed by the Commission ) within ten days after such notice by personal service or the sending of such telegraphic notice , issue an order prior to the effective date of registration re- fusing to permit such ...
Page 17
... hearing , that any person is violating , has violated , or is about to violate any pro- vision of this title , or ... HEARING . - The notice instituting proceedings pursuant to subsection ( a ) shall fix a hearing date not earlier than ...
... hearing , that any person is violating , has violated , or is about to violate any pro- vision of this title , or ... HEARING . - The notice instituting proceedings pursuant to subsection ( a ) shall fix a hearing date not earlier than ...
Page 18
... hearing , the respondent may , within 10 days after the date on which the order was served , request a hearing on such application and the Commission shall hold a hearing and render a decision on such application at the earliest ...
... hearing , the respondent may , within 10 days after the date on which the order was served , request a hearing on such application and the Commission shall hold a hearing and render a decision on such application at the earliest ...
Page 19
... hearing in such manner and upon such terms and condi- tions as to the court may seem proper . The Commission may mod- ify its findings as to the facts , by reason of the additional evidence so taken , and it shall file such modified or ...
... hearing in such manner and upon such terms and condi- tions as to the court may seem proper . The Commission may mod- ify its findings as to the facts , by reason of the additional evidence so taken , and it shall file such modified or ...
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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.