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 6
... investment company registered under the Investment mpany Act of 1940 or a business development company defined in section 2 ( a ) ( 48 ) of that Act ; a Small Business estment Company licensed by the Small Business Ad- nistration ; or ...
... investment company registered under the Investment mpany Act of 1940 or a business development company defined in section 2 ( a ) ( 48 ) of that Act ; a Small Business estment Company licensed by the Small Business Ad- nistration ; or ...
Page 49
... investment company , " " affiliated perso " insurance company , " " separate account , " and " company " ha the same meanings as in the Investment Company Act of 19 ( 20 ) The terms " investment adviser " and " underwrit have the same ...
... investment company , " " affiliated perso " insurance company , " " separate account , " and " company " ha the same meanings as in the Investment Company Act of 19 ( 20 ) The terms " investment adviser " and " underwrit have the same ...
Page 108
... investment company registered under the Investment Company Act of 1940 , and carried for the ac- count of a customer . ( 2 ) With respect to banks , the rules and regulations prescribed by the Commission under paragraph ( 1 ) shall not ...
... investment company registered under the Investment Company Act of 1940 , and carried for the ac- count of a customer . ( 2 ) With respect to banks , the rules and regulations prescribed by the Commission under paragraph ( 1 ) shall not ...
Page 109
... investment company registered under the Investment Company Act of 1940 , if , after consummation thereof , such person would , directly or indi- rectly , be the beneficial owner of more than 5 per centum of such class , unless at the ...
... investment company registered under the Investment Company Act of 1940 , if , after consummation thereof , such person would , directly or indi- rectly , be the beneficial owner of more than 5 per centum of such class , unless at the ...
Page 185
... Investment Advisers Act of 1940 , the Investment Company Act of 1940 , this title , or the rules or regulations under any of such statutes ; ( B ) in the case of a registered securities association , any provision of the Securities Act ...
... Investment Advisers Act of 1940 , the Investment Company Act of 1940 , this title , or the rules or regulations under any of such statutes ; ( B ) in the case of a registered securities association , any provision of the Securities Act ...
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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