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 10
... enforcement th respect to such securities is not necessary in the and for the protection of investors by reason of the involved or the limited character of the public offer- ue of securities shall be exempted under this sub- che ...
... enforcement th respect to such securities is not necessary in the and for the protection of investors by reason of the involved or the limited character of the public offer- ue of securities shall be exempted under this sub- che ...
Page 17
... enforcement of the order , and the court shall have jur to enter such an order . A respondent served with a te cease - and - desist order entered without a prior Con hearing may not apply to the court except after hea decision by the ...
... enforcement of the order , and the court shall have jur to enter such an order . A respondent served with a te cease - and - desist order entered without a prior Con hearing may not apply to the court except after hea decision by the ...
Page 23
... enforce ity created under section 12 ( 1 ) , unless brought within o after the violation upon which it is based . In no event s such action be brought to enforce a liability created under 11 or section 12 ( 1 ) more than three years ...
... enforce ity created under section 12 ( 1 ) , unless brought within o after the violation upon which it is based . In no event s such action be brought to enforce a liability created under 11 or section 12 ( 1 ) more than three years ...
Page 43
... Enforcement Act ( 15 U.S P.L. 100-704 ) contained the following additional provisions : SEC . 7. SECURITIES LAWS STUDY . ( a ) FINDINGS . - The Congress finds that- ( 1 ) recent disclosures of securities fraud and insider trading have ...
... Enforcement Act ( 15 U.S P.L. 100-704 ) contained the following additional provisions : SEC . 7. SECURITIES LAWS STUDY . ( a ) FINDINGS . - The Congress finds that- ( 1 ) recent disclosures of securities fraud and insider trading have ...
Page 139
... enforcement of applicable provisions of this title , the rules and regulations thereunder , and the rules of the Board . A separately identifiable department or di- vision of a bank may be engaged in activities other than those relating ...
... enforcement of applicable provisions of this title , the rules and regulations thereunder , and the rules of the Board . A separately identifiable department or di- vision of a bank may be engaged in activities other than those relating ...
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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