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 4
... issued or rred with a security , giving the holder of such security nt to convert such security into another security of the suer or of another person , or giving a right to subscribe her security of the same issuer or of another person ...
... issued or rred with a security , giving the holder of such security nt to convert such security into another security of the suer or of another person , or giving a right to subscribe her security of the same issuer or of another person ...
Page 6
... issued or guaranteed by the United States Territory thereof , or by the District of Columbia , or by te of the ... issued or guaranteed 1 et seq . ( Printed in appendix to this volume . ] emptions contained at : 7 U.S.C. 1932 ( dX6 ) ...
... issued or guaranteed by the United States Territory thereof , or by the District of Columbia , or by te of the ... issued or guaranteed 1 et seq . ( Printed in appendix to this volume . ] emptions contained at : 7 U.S.C. 1932 ( dX6 ) ...
Page 7
... 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 1954,3 ...
... 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 1954,3 ...
Page 8
... issuance of not exceeding onths , exclusive of days of grace , or any renewal thereof curity of which is likewise limited ; Any security issued by a person organized and operated vely for religious , educational , benevolent , fraternal ...
... issuance of not exceeding onths , exclusive of days of grace , or any renewal thereof curity of which is likewise limited ; Any security issued by a person organized and operated vely for religious , educational , benevolent , fraternal ...
Page 9
... issued in exchange more bona fide outstanding securities , claims or prop ests , or partly in such exchange and partly for cash , terms and conditions of such issuance and exchang proved , after a hearing upon the fairness of such ...
... issued in exchange more bona fide outstanding securities , claims or prop ests , or partly in such exchange and partly for cash , terms and conditions of such issuance and exchang proved , after a hearing upon the fairness of such ...
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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