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 17
... application at the earliest possible time . ( 2 ) JUDICIAL REVIEW . - Within- ( A ) 10 days after the date the respondent wa with a temporary cease - and - desist order entered prior Commission hearing , or ( B ) 10 days after the ...
... application at the earliest possible time . ( 2 ) JUDICIAL REVIEW . - Within- ( A ) 10 days after the date the respondent wa with a temporary cease - and - desist order entered prior Commission hearing , or ( B ) 10 days after the ...
Page 30
... application on to any person or circumstance , shall be held in- inder of this Act , or the application of such provision ircumstances other than those as to which it is held ot be affected thereby . SCHEDULE A The name under which the ...
... application on to any person or circumstance , shall be held in- inder of this Act , or the application of such provision ircumstances other than those as to which it is held ot be affected thereby . SCHEDULE A The name under which the ...
Page 57
... application for membership or participation in , or to b come associated with a member of , such self - regulatory o ganization , is enjoined from any action , conduct , or pra tice specified in subparagraph ( C ) of such paragraph ( 4 ...
... application for membership or participation in , or to b come associated with a member of , such self - regulatory o ganization , is enjoined from any action , conduct , or pra tice specified in subparagraph ( C ) of such paragraph ( 4 ...
Page 83
... application , may conditionally or unconditionally exempt a securities information processor or class of securities informat processors or security or class of securities from any provision this section or the rules or regulations ...
... application , may conditionally or unconditionally exempt a securities information processor or class of securities informat processors or security or class of securities from any provision this section or the rules or regulations ...
Page 84
... application for Commission , by order , shall cancel the registra- prohibition or limitatio mation processor to p by the registered secu : ( 6 ) The Commissi upon the activities , fu rities information pro twelve months or rev the ...
... application for Commission , by order , shall cancel the registra- prohibition or limitatio mation processor to p by the registered secu : ( 6 ) The Commissi upon the activities , fu rities information pro twelve months or rev the ...
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Common terms and phrases
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