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 6
... prescribe . EXEMPTED SECURITIES 2 [ 77c ] ( a ) Except as hereinafter expressly provided , the of this title shall not apply to any of the following class- ies : Reserved . Any security issued or guaranteed by the United States ...
... prescribe . EXEMPTED SECURITIES 2 [ 77c ] ( a ) Except as hereinafter expressly provided , the of this title shall not apply to any of the following class- ies : Reserved . Any security issued or guaranteed by the United States ...
Page 13
... prescribe , and copies thered static or otherwise , shall be furnished to every applicant reasonable charge as the Commission may prescribe . INFORMATION REQUIRED IN REGISTRATION STATEMENT SEC . 7. [ 77g ] ( a ) The registration ...
... prescribe , and copies thered static or otherwise , shall be furnished to every applicant reasonable charge as the Commission may prescribe . INFORMATION REQUIRED IN REGISTRATION STATEMENT SEC . 7. [ 77g ] ( a ) The registration ...
Page 25
... prescribe the form or forms in wh quired information shall be set forth , the items or details shown in the balance sheet and earning statement , and the ods to be followed in the preparation of accounts , in the ap or valuation of ...
... prescribe the form or forms in wh quired information shall be set forth , the items or details shown in the balance sheet and earning statement , and the ods to be followed in the preparation of accounts , in the ap or valuation of ...
Page 32
... prescribe for available and if such issuer then for such by year . If t more than si ment from s statement sh ing the thre charges , divi surplus acco nance charg prescribe , a have been c a statement statement s recurring in come ...
... prescribe for available and if such issuer then for such by year . If t more than si ment from s statement sh ing the thre charges , divi surplus acco nance charg prescribe , a have been c a statement statement s recurring in come ...
Page 33
... prescribe , including surplus of t showing how and from what sources such surplus was cr as of a date not more than ninety days prior to the fili registration statement . If such statement be not certifi independent public or certified ...
... prescribe , including surplus of t showing how and from what sources such surplus was cr as of a date not more than ninety days prior to the fili registration statement . If such statement be not certifi independent public or certified ...
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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