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 3
... purchase , any of the foregoing . ( 2 ) The term " person " means an individual , a corpo a partnership , an association , a joint - stock company , a any unincorporated organization , or a government or p subdivision thereof . As used ...
... purchase , any of the foregoing . ( 2 ) The term " person " means an individual , a corpo a partnership , an association , a joint - stock company , a any unincorporated organization , or a government or p subdivision thereof . As used ...
Page 7
... purchase of securities ( other than in participations in the trust or separate account itself ) the employer or any company directly or indirectly co controlled by , or under common control with the emp which covers employees some or ...
... purchase of securities ( other than in participations in the trust or separate account itself ) the employer or any company directly or indirectly co controlled by , or under common control with the emp which covers employees some or ...
Page 47
... purchase , any of the foregoing ; but shall include currency or any note , draft , bill of exchange , or bar er's acceptance which has a maturity at the time of issuan of not exceeding nine months , exclusive of days of grace , or a ...
... purchase , any of the foregoing ; but shall include currency or any note , draft , bill of exchange , or bar er's acceptance which has a maturity at the time of issuan of not exceeding nine months , exclusive of days of grace , or a ...
Page 48
... purchase " each include any con- purchase , or otherwise acquire . terms " sale " and " sell " each include any contract erwise dispose of . term " Commission " means the Securities and Ex- nission established by section 4 of this title ...
... purchase " each include any con- purchase , or otherwise acquire . terms " sale " and " sell " each include any contract erwise dispose of . term " Commission " means the Securities and Ex- nission established by section 4 of this title ...
Page 55
... purchased sold by or for the account even though some other person ma have responsibility for such investment decisions , or ( C ) othe wise exercises such influence with respect to the purchase an sale of securities or other property ...
... purchased sold by or for the account even though some other person ma have responsibility for such investment decisions , or ( C ) othe wise exercises such influence with respect to the purchase an sale of securities or other property ...
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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