Compilation of Securities Laws Within the Jurisdiction of the Committee on Commerce: Including Securities Act of 1933, Securities Exchange Act of 1934 ..., Volume 4 |
From inside the book
Results 1-5 of 99
Page 13
... authority of the perso signature is so affixed and the burden of proof , in the ev authority shall be denied , shall be upon the party den same . The affixing of any signature without the authori purported signer shall constitute a ...
... authority of the perso signature is so affixed and the burden of proof , in the ev authority shall be denied , shall be upon the party den same . The affixing of any signature without the authori purported signer shall constitute a ...
Page 20
... authority to a statement made by him , with his consent been named as having prepared or any part of the registration statement , or as having or certified any report or valuation which is used in on with the registration statement ...
... authority to a statement made by him , with his consent been named as having prepared or any part of the registration statement , or as having or certified any report or valuation which is used in on with the registration statement ...
Page 21
... authority of an and not purporting to be a copy of or extract from a re valuation of an expert , and not purporting to be made authority of a public official document or statement , I after reasonable investigation , reasonable ground ...
... authority of an and not purporting to be a copy of or extract from a re valuation of an expert , and not purporting to be made authority of a public official document or statement , I after reasonable investigation , reasonable ground ...
Page 25
... authority , purposes of this title , to prescribe the form or forms in wh quired information shall be set forth , the items or details shown in the balance sheet and earning statement , and the ods to be followed in the preparation of ...
... authority , purposes of this title , to prescribe the form or forms in wh quired information shall be set forth , the items or details shown in the balance sheet and earning statement , and the ods to be followed in the preparation of ...
Page 27
... authority of , the Commission may , in its discretion , bring an action district court of the United States , or United States court Territory , to enjoin such acts or practices , and upon a proper ing , a permanent or temporary ...
... authority of , the Commission may , in its discretion , bring an action district court of the United States , or United States court Territory , to enjoin such acts or practices , and upon a proper ing , a permanent or temporary ...
Other editions - View all
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