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 18
... court to the Commission , and e Commission shall file in the court the record upon der complained of was entered , as provided in section 28 , United States Code . No objection to the order of ion shall be considered by the court unless ...
... court to the Commission , and e Commission shall file in the court the record upon der complained of was entered , as provided in section 28 , United States Code . No objection to the order of ion shall be considered by the court unless ...
Page 27
... court to seek , and the court sha jurisdiction to impose , upon a proper showing , a civil p to be paid by the person who committed such violation . ( 2 ) AMOUNT OF PENALTY.— ( A ) FIRST TIER . - The amount of the penalty s determined ...
... court to seek , and the court sha jurisdiction to impose , upon a proper showing , a civil p to be paid by the person who committed such violation . ( 2 ) AMOUNT OF PENALTY.— ( A ) FIRST TIER . - The amount of the penalty s determined ...
Page 28
... COURT TO PROHIBIT PERSONS FROM SERV- ICERS AND DIRECTORS . - In any proceeding under sub- the court may prohibit , conditionally or unconditionally , ently or for such period of time as it shall determine , who violated section 17 ( a ) ...
... COURT TO PROHIBIT PERSONS FROM SERV- ICERS AND DIRECTORS . - In any proceeding under sub- the court may prohibit , conditionally or unconditionally , ently or for such period of time as it shall determine , who violated section 17 ( a ) ...
Page 29
... court of jurisdiction shall be removed to any court of the United S costs shall be assessed for or against the Commission in ceeding under this title brought by or against it in the Court or such other courts . ( b ) In case of ...
... court of jurisdiction shall be removed to any court of the United S costs shall be assessed for or against the Commission in ceeding under this title brought by or against it in the Court or such other courts . ( b ) In case of ...
Page 97
... court finds , after notice and hearing before panel of the court , that the Commission's action is arbitra capricious , an abuse of discretion , or otherwise not in acco ance with law . ( 6 ) DEFINITION OF EMERGENCY . - For purposes of ...
... court finds , after notice and hearing before panel of the court , that the Commission's action is arbitra capricious , an abuse of discretion , or otherwise not in acco ance with law . ( 6 ) DEFINITION OF EMERGENCY . - For purposes of ...
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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