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 24
... otherwise , or who , pursuant to or in connection ement or understanding with one or more other per- rough stock ownership , agency , or otherwise , controls able under section 11 or 12 , shall also be liable jointly 7 with and to the ...
... otherwise , or who , pursuant to or in connection ement or understanding with one or more other per- rough stock ownership , agency , or otherwise , controls able under section 11 or 12 , shall also be liable jointly 7 with and to the ...
Page 45
... otherwise requires- ( 1 ) The term " exchange " means any organization , a tion , or group of persons , whether incorporated or u porated , which constitutes , maintains , or provides a place or facilities for bringing together ...
... otherwise requires- ( 1 ) The term " exchange " means any organization , a tion , or group of persons , whether incorporated or u porated , which constitutes , maintains , or provides a place or facilities for bringing together ...
Page 50
... otherwise permits or facilitates the of securities transactions or the hypothecation or ecurities without physical delivery of securities cer- performed by it open - end investm any person solel scribed in paragr ( 24 ) The ter clearing ...
... otherwise permits or facilitates the of securities transactions or the hypothecation or ecurities without physical delivery of securities cer- performed by it open - end investm any person solel scribed in paragr ( 24 ) The ter clearing ...
Page 80
... otherwise than on an ex- ilate or prohibit : sactions on a national securities exchange not un- r paragraph ( 1 ) of this subsection effected by any reof for its own account ( unless such member is e capacity of market maker or odd ...
... otherwise than on an ex- ilate or prohibit : sactions on a national securities exchange not un- r paragraph ( 1 ) of this subsection effected by any reof for its own account ( unless such member is e capacity of market maker or odd ...
Page 81
... otherwise , to effect throu the use of any facility of a national securities exchange or of mails or of any means or instrumentality of interstate commer or otherwise in the case of a member , ( 1 ) any transaction in c nection with ...
... otherwise , to effect throu the use of any facility of a national securities exchange or of mails or of any means or instrumentality of interstate commer or otherwise in the case of a member , ( 1 ) any transaction in c nection with ...
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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