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 5
... notice , circular , advertisement , letter , or communication , written or by radio or television , which offers any security for sale or con- firms the sale of any security ; except that ( a ) a communication sent or given after the ...
... notice , circular , advertisement , letter , or communication , written or by radio or television , which offers any security for sale or con- firms the sale of any security ; except that ( a ) a communication sent or given after the ...
Page 16
... notice by personal service or the sending of confirmed telegraphic notice not later than ten days after the filing of the registration statement , and opportunity for hearing ( at a time fixed by the Commission ) within ten days after ...
... notice by personal service or the sending of confirmed telegraphic notice not later than ten days after the filing of the registration statement , and opportunity for hearing ( at a time fixed by the Commission ) within ten days after ...
Page 17
... notice to the address given in such statement . CEASE - AND - DESIST PROCEEDINGS SEC . 8A . [ 77h - 1 ] ( a ) AUTHORITY OF THE COMMISSION . - If the Commission finds , after notice and opportunity for hearing , that any person is ...
... notice to the address given in such statement . CEASE - AND - DESIST PROCEEDINGS SEC . 8A . [ 77h - 1 ] ( a ) AUTHORITY OF THE COMMISSION . - If the Commission finds , after notice and opportunity for hearing , that any person is ...
Page 18
... notice and opportunity for a hearing , unless the Commission determines that notice and hearing prior to entry would be im- practicable or contrary to the public interest . A temporary order shall become effective upon service upon the ...
... notice and opportunity for a hearing , unless the Commission determines that notice and hearing prior to entry would be im- practicable or contrary to the public interest . A temporary order shall become effective upon service upon the ...
Page 20
... notice of the issuance of such order and op- portunity for hearing by personal service or the sending of con- firmed telegraphic notice . The Commission shall vacate or modify the order at any time for good cause or if such prospectus ...
... notice of the issuance of such order and op- portunity for hearing by personal service or the sending of con- firmed telegraphic notice . The Commission shall vacate or modify the order at any time for good cause or if such prospectus ...
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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.