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 5
... directly or indirectl ling or controlled by the issuer , or any person under indirect common control with the issuer . ( 12 ) The term " dealer " means any person who en ther for all or part of his time , directly or indirectly , broker ...
... directly or indirectl ling or controlled by the issuer , or any person under indirect common control with the issuer . ( 12 ) The term " dealer " means any person who en ther for all or part of his time , directly or indirectly , broker ...
Page 7
... directly or indirectly co controlled by , or under common control with the emp which covers employees some or all of whom are within the meaning of section 401 ( c ) ( 1 ) of such Cod which is a plan funded by an annuity contract ...
... directly or indirectly co controlled by , or under common control with the emp which covers employees some or all of whom are within the meaning of section 401 ( c ) ( 1 ) of such Cod which is a plan funded by an annuity contract ...
Page 11
... directly secured by a first lien o parcel of real estate upon which is located a dwellin residential or commercial structure , and participation in such notes- ( i ) where such securities are originated by and loan association , savings ...
... directly secured by a first lien o parcel of real estate upon which is located a dwellin residential or commercial structure , and participation in such notes- ( i ) where such securities are originated by and loan association , savings ...
Page 12
... directly or in- make use of any means or instruments of transpor- communication in interstate commerce or of the mails ch security through the use or medium of any pro- : otherwise ; or carry or cause to be carried through the mails or ...
... directly or in- make use of any means or instruments of transpor- communication in interstate commerce or of the mails ch security through the use or medium of any pro- : otherwise ; or carry or cause to be carried through the mails or ...
Page 24
... directly or indirectly- SEC . 19. [ 7 time to time to tions as may be including rules and prospectus defining accour Among other th purposes of thi quired informa shown in the b ods to be follow or valuation of ciation and de recurring ...
... directly or indirectly- SEC . 19. [ 7 time to time to tions as may be including rules and prospectus defining accour Among other th purposes of thi quired informa shown in the b ods to be follow or valuation of ciation and de recurring ...
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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