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 3
... contract , voting - tru tificate , certificate of deposit for a security , fractional vided interest in oil , gas , or other mineral rights , any pu straddle , option , or privilege on any security , certificate posit , or group or ...
... contract , voting - tru tificate , certificate of deposit for a security , fractional vided interest in oil , gas , or other mineral rights , any pu straddle , option , or privilege on any security , certificate posit , or group or ...
Page 6
... contract , credited to or charged against such account regard to other income , gains , or losses of the insur- mpany . O The term " accredited investor " shall mean- ( i ) a bank as defined in section 3 ( a ) ( 2 ) of the Act ether ...
... contract , credited to or charged against such account regard to other income , gains , or losses of the insur- mpany . O The term " accredited investor " shall mean- ( i ) a bank as defined in section 3 ( a ) ( 2 ) of the Act ether ...
Page 7
... contract issued by an insurance company , which inte ticipation , or security is issued in connection with ( A bonus , pension , or profit - sharing plan which meets th ments for qualification under section 401 of the Inter nue Code of ...
... contract issued by an insurance company , which inte ticipation , or security is issued in connection with ( A bonus , pension , or profit - sharing plan which meets th ments for qualification under section 401 of the Inter nue Code of ...
Page 11
... contracts to buy or sell the foregoing securities which completed within two years , where the seller of the securities ... contract is any institution described in graph ( A ) ( i ) or any insurance company described in graph ( A ) ( ii ) ...
... contracts to buy or sell the foregoing securities which completed within two years , where the seller of the securities ... contract is any institution described in graph ( A ) ( i ) or any insurance company described in graph ( A ) ( ii ) ...
Page 32
... contract made , not in the ordinary course ich contract is to be executed in whole or in part at ng of the registration statement or which contract not more than two years before such filing . Any ntract or contract providing for ...
... contract made , not in the ordinary course ich contract is to be executed in whole or in part at ng of the registration statement or which contract not more than two years before such filing . Any ntract or contract providing for ...
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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