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 9
... propose securities in such exchange shall have the right to a any court , or by any official or agency of the United by any State or Territorial banking or insurance com other governmental authority expressly authorized grant such ...
... propose securities in such exchange shall have the right to a any court , or by any official or agency of the United by any State or Territorial banking or insurance com other governmental authority expressly authorized grant such ...
Page 13
... proposed to be offered . ( b ) At the time of filing a registration statement the a shall pay to the Commission a fee of one - fiftieth of 1 per of the maximum aggregate price at which such securities posed to be offered , but in no ...
... proposed to be offered . ( b ) At the time of filing a registration statement the a shall pay to the Commission a fee of one - fiftieth of 1 per of the maximum aggregate price at which such securities posed to be offered , but in no ...
Page 30
... year ; ( 15 ) th to be offere ( 16 ) th offered to t and any va is proposed than the u ation in pr ing of the fied of such www Fined not wears , or URITIES person Govern- uments stration statement filed under this title, makes any ...
... year ; ( 15 ) th to be offere ( 16 ) th offered to t and any va is proposed than the u ation in pr ing of the fied of such www Fined not wears , or URITIES person Govern- uments stration statement filed under this title, makes any ...
Page 31
... proposed that the security offered to the public or the method by which such price is and any variation therefrom at which any portion of such is proposed to be offered to any persons or classes of perso than the underwriters , naming ...
... proposed that the security offered to the public or the method by which such price is and any variation therefrom at which any portion of such is proposed to be offered to any persons or classes of perso than the underwriters , naming ...
Page 32
... proposed to be acquired at such date ; mes and addresses of counsel who have passed on he issue ; of and parties to , and the general effect concisely material contract made , not in the ordinary course ich contract is to be executed in ...
... proposed to be acquired at such date ; mes and addresses of counsel who have passed on he issue ; of and parties to , and the general effect concisely material contract made , not in the ordinary course ich contract is to be executed in ...
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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