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 13
... party den same . The affixing of any signature without the authori purported signer shall constitute a violation of this title . A tion statement shall be deemed effective only as to the s specified therein as proposed to be offered ...
... party den same . The affixing of any signature without the authori purported signer shall constitute a violation of this title . A tion statement shall be deemed effective only as to the s specified therein as proposed to be offered ...
Page 18
... party shall apply to the court for leave to ad- al evidence , and shall show to the satisfaction of the ch additional evidence is material and that there were rounds for failure to adduce such evidence in the hear- he Commission , the ...
... party shall apply to the court for leave to ad- al evidence , and shall show to the satisfaction of the ch additional evidence is material and that there were rounds for failure to adduce such evidence in the hear- he Commission , the ...
Page 22
... party litigant , upon the motion of the litigant , such costs may be assessed in favor of such ( whether or not such undertaking has been required ) comes liable to contribution as separately , wou less the person guilty of fraudu ( g ) ...
... party litigant , upon the motion of the litigant , such costs may be assessed in favor of such ( whether or not such undertaking has been required ) comes liable to contribution as separately , wou less the person guilty of fraudu ( g ) ...
Page 32
... parties to , and the general effect concisely material contract made , not in the ordinary course ich contract is to be executed in whole or in part at ng of the registration statement or which contract not more than two years before ...
... parties to , and the general effect concisely material contract made , not in the ordinary course ich contract is to be executed in whole or in part at ng of the registration statement or which contract not more than two years before ...
Page 62
... parties shall be appointed alternately as nearly as ble . No commissioner shall engage in any other on , or employment than that of serving as commis- l any commissioner participate , directly or indi- tock - market operations or ...
... parties shall be appointed alternately as nearly as ble . No commissioner shall engage in any other on , or employment than that of serving as commis- l any commissioner participate , directly or indi- tock - market operations or ...
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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