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 26
... regulatory organiza- es , and private organizations involved in capital forma- invited to participate . fiscal year 1982 , and for each of the three succeeding there are authorized to be appropriated such amounts ecessary and appropriate ...
... regulatory organiza- es , and private organizations involved in capital forma- invited to participate . fiscal year 1982 , and for each of the three succeeding there are authorized to be appropriated such amounts ecessary and appropriate ...
Page 51
... agency means any person who uses a clearing agen to clear or settle ... regulatory organization " means any n tional securities exchange ... appropriate in the pu lic interest or for the protection of investors to be deemed be rules of ...
... agency means any person who uses a clearing agen to clear or settle ... regulatory organization " means any n tional securities exchange ... appropriate in the pu lic interest or for the protection of investors to be deemed be rules of ...
Page 52
... appropriate regulatory agency " means— ( 26 U.S.C. 103 ( b ) . ) ( 26 U.S.C. 103 ( b ) ( 13 ) . ) System , Federal R or divisio ary of a h than a ba paragrap of such su ( iii ) t the case surance eral Rese division ( iv ) t ipal secu ...
... appropriate regulatory agency " means— ( 26 U.S.C. 103 ( b ) . ) ( 26 U.S.C. 103 ( b ) ( 13 ) . ) System , Federal R or divisio ary of a h than a ba paragrap of such su ( iii ) t the case surance eral Rese division ( iv ) t ipal secu ...
Page 56
... regulation , or en and is denied trading privileges on any such con- market or foreign equivalent ; subject to- an order to the Commission , other appropriate reg- y agency , or foreign financial regulatory authority- ( I ) denying ...
... regulation , or en and is denied trading privileges on any such con- market or foreign equivalent ; subject to- an order to the Commission , other appropriate reg- y agency , or foreign financial regulatory authority- ( I ) denying ...
Page 104
... appropriate in the public interest or for the pro- tection of investors ... regulatory agencies , Federal and State authorities which , directly or ... agency a copy of every report filed with the Com- mission pursuant to this subsection ...
... appropriate in the public interest or for the pro- tection of investors ... regulatory agencies , Federal and State authorities which , directly or ... agency a copy of every report filed with the Com- mission pursuant to this subsection ...
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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