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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... and Development Act , as contained in the Foreign Operations , Export Financing , and Related Program Appropriations Act , 1991 ( 22 U.S.C. 2901 note , 2901 , 2901-7 ) ( III ) United States Code , Section 11367 651 y Definition of.
... and Development Act , as contained in the Foreign Operations , Export Financing , and Related Program Appropriations Act , 1991 ( 22 U.S.C. 2901 note , 2901 , 2901-7 ) ( III ) United States Code , Section 11367 651 y Definition of.
Page 38
... operations during each year , send a gether with a copy of the account and balance sheet port , to the Commission and to both Houses of Con- ide one copy of such report but not more than one ion of any person and on receipt of a sum not ...
... operations during each year , send a gether with a copy of the account and balance sheet port , to the Commission and to both Houses of Con- ide one copy of such report but not more than one ion of any person and on receipt of a sum not ...
Page 45
... operation of the national banking system and Fede serve System . ( 4 ) National emergencies , which produce widespread une ment and the dislocation of trade , transportation , and in and which burden interstate commerce and adversely ...
... operation of the national banking system and Fede serve System . ( 4 ) National emergencies , which produce widespread une ment and the dislocation of trade , transportation , and in and which burden interstate commerce and adversely ...
Page 62
... operations or transactions of a char- regulation by the Commission pursuant to this missioner shall hold office for a term of five years ccessor is appointed and has qualified , except that ignated by the President of one year , one at ...
... operations or transactions of a char- regulation by the Commission pursuant to this missioner shall hold office for a term of five years ccessor is appointed and has qualified , except that ignated by the President of one year , one at ...
Page 66
... operations , fine , censure , being barred from being associated with a member , or ing sanction . ules of the exchange are in accordance with the subsection ( d ) of this section , and in general , pro- ocedure for the disciplining of ...
... operations , fine , censure , being barred from being associated with a member , or ing sanction . ules of the exchange are in accordance with the subsection ( d ) of this section , and in general , pro- ocedure for the disciplining of ...
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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