Compilation of Securities Laws Within the Jurisdiction of the Committee on Commerce: Including Securities Act of 1933, Securities Exchange Act of 1934 ..., Volume 4 |
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Page 23
... ACTIONS SEC . 13. [ 77m ] No action shall be maintained to enf liability created under section 11 or section 12 ( 2 ) unless within one year after the discovery of the untrue statemen omission , or after such discovery should have been ...
... ACTIONS SEC . 13. [ 77m ] No action shall be maintained to enf liability created under section 11 or section 12 ( 2 ) unless within one year after the discovery of the untrue statemen omission , or after such discovery should have been ...
Page 28
... actions under this section shall be actions nforce a liability or a duty created by this title . SPECIAL PROVISIONS RELATING TO A VIOLATION OF A ND - DESIST ORDER . — In an action to enforce a cease - and- order entered by the ...
... actions under this section shall be actions nforce a liability or a duty created by this title . SPECIAL PROVISIONS RELATING TO A VIOLATION OF A ND - DESIST ORDER . — In an action to enforce a cease - and- order entered by the ...
Page 64
... action of any such division on , individual Commissioner , administrative law or employee board , upon its own initiative or upon y to or intervenor in such action , within such time er as the Commission by rule shall prescribe . The ...
... action of any such division on , individual Commissioner , administrative law or employee board , upon its own initiative or upon y to or intervenor in such action , within such time er as the Commission by rule shall prescribe . The ...
Page 96
... action to alter , sup- aspend , or impose requirements or restrictions with any matter or action subject to regulation by the nor a self - regulatory organization under this title , mission determines is necessary in the public inter ...
... action to alter , sup- aspend , or impose requirements or restrictions with any matter or action subject to regulation by the nor a self - regulatory organization under this title , mission determines is necessary in the public inter ...
Page 97
... ACTIONS BY PRESIDENT The President may direct that action taken by the Commiss under paragraph ( 1 ) ( B ) or paragraph ( 2 ) of this subsect shall not continue in effect . ( 4 ) COMPLIANCE WITH ORDERS . - No member of a nation ...
... ACTIONS BY PRESIDENT The President may direct that action taken by the Commiss under paragraph ( 1 ) ( B ) or paragraph ( 2 ) of this subsect shall not continue in effect . ( 4 ) COMPLIANCE WITH ORDERS . - No member of a nation ...
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action amount application appropriate regulatory agency assets authority bank Board broker or dealer broker or government business development company centum certificate clearing agency Commis Commission contract court curities debtor deemed determines director effect employee enforcement exempt face-amount certificate company Federal Reserve System filed foreign government securities broker government securities dealer holding company indenture securities investment adviser issuer istered jurisdiction limited partnership ment municipal securities dealer national securities exchange necessary or appropriate officer otherwise paragraph participant payment penalty penny stocks person associated proceeding protection of investors provisions public interest purchase purposes pursuant to section reasonable registered investment company registration statement regulations thereunder request respect rities rule or regulation rules and regulations secu Securities Act self-regulatory organization sion SIPC specified spect subparagraph subsection term thereof tion transaction transfer agent trustee underwriter unit investment trust United States Code unlawful violation