Compilation of Securities Laws Within the Jurisdiction of the Committee on Commerce: Including Securities Act of 1933, Securities Exchange Act of 1934 ..., Volume 4 |
From inside the book
Results 1-5 of 100
Page 5
... person to whom the communication w and ( b ) a notice , circular , advertisement , letter , or co tion in respect of a security shall not be deemed to spectus if it states from whom a written prospectus the requirements of section 10 ...
... person to whom the communication w and ( b ) a notice , circular , advertisement , letter , or co tion in respect of a security shall not be deemed to spectus if it states from whom a written prospectus the requirements of section 10 ...
Page 16
... person that is , was , or would be a cause of due to an act or omission the person knew or should would contribute to such violation , to cease and desist ing or causing such violation and any future violation provision , rule , or ...
... person that is , was , or would be a cause of due to an act or omission the person knew or should would contribute to such violation , to cease and desist ing or causing such violation and any future violation provision , rule , or ...
Page 20
... person acquiring such security ( unless it is at the time of such acquisition he knew of such un- ssion ) may , either at law or in equity , in any court of risdiction , sue- very person who signed the registration statement ; very person ...
... person acquiring such security ( unless it is at the time of such acquisition he knew of such un- ssion ) may , either at law or in equity , in any court of risdiction , sue- very person who signed the registration statement ; very person ...
Page 24
... person is liable , unless ng person had no knowledge of or reasonable ground the existence of the facts by reason of which the liabil- trolled person is alleged to exist . ADDITIONAL REMEDIES [ 77p ] The rights and remedies provided by ...
... person is liable , unless ng person had no knowledge of or reasonable ground the existence of the facts by reason of which the liabil- trolled person is alleged to exist . ADDITIONAL REMEDIES [ 77p ] The rights and remedies provided by ...
Page 59
... person regularly engaged in the business of effecting tran actions in government securities for the account of others , b does not include- ( A ) any corporation the securities of which are gover ment securities under subparagraph ( B ) ...
... person regularly engaged in the business of effecting tran actions in government securities for the account of others , b does not include- ( A ) any corporation the securities of which are gover ment securities under subparagraph ( B ) ...
Other editions - View all
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