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
... ment of sec that 1 writte of se given and ( tion spect the tion . ther such tions and and purc an i or p such dire such to a of th As add ling ind the bro ord per wh and or ( 10 ) The term " prospectus " means any chase of securities or ...
... ment of sec that 1 writte of se given and ( tion spect the tion . ther such tions and and purc an i or p such dire such to a of th As add ling ind the bro ord per wh and or ( 10 ) The term " prospectus " means any chase of securities or ...
Page 14
... ment is on it spect , the Con sending of co after the filin hearing ( at a such notice by notice , issue a fusing to per been amende ment has bee mission shall at the time p laration , whic ( c ) An am tion statemen Commission spect ...
... ment is on it spect , the Con sending of co after the filin hearing ( at a such notice by notice , issue a fusing to per been amende ment has bee mission shall at the time p laration , whic ( c ) An am tion statemen Commission spect ...
Page 15
... ment is on its face incomplete or inaccurate in any mat spect , the Commission may , after notice by personal servi sending of confirmed telegraphic notice not later than after the filing of the registration statement , and opport ...
... ment is on its face incomplete or inaccurate in any mat spect , the Commission may , after notice by personal servi sending of confirmed telegraphic notice not later than after the filing of the registration statement , and opport ...
Page 20
... ment not p and not pu valuation o authority after reas and did be ment beca and that quired to ments the the regist thority as from a re after reas and did b ment bec and that quired to ments th tion stat pert or w ation as tion stat ...
... ment not p and not pu valuation o authority after reas and did be ment beca and that quired to ments the the regist thority as from a re after reas and did b ment bec and that quired to ments th tion stat pert or w ation as tion stat ...
Page 21
... MENT state- state- uired erein it is nun- art of Form- ne of spect the ctor , rson him , dor ving din the ion , -en- ver- cive der ac- eg- nd ed ch sponsible for such part of the registration statement ; or ( 2 ) that if such part of ...
... MENT state- state- uired erein it is nun- art of Form- ne of spect the ctor , rson him , dor ving din the ion , -en- ver- cive der ac- eg- nd ed ch sponsible for such part of the registration statement ; or ( 2 ) that if such part 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