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
... relating to foreign currency , or , in general , any i or instrument commonly known as a " security " , or any cate of interest or participation in , temporary or interim cate for , receipt for , guarantee of , or warrant or right ...
... relating to foreign currency , or , in general , any i or instrument commonly known as a " security " , or any cate of interest or participation in , temporary or interim cate for , receipt for , guarantee of , or warrant or right ...
Page 12
... RELATING TO INTERSTATE COMMERCE AND THE MAILS 77e ] ( a ) Unless a registration statement is in effect ty , it shall be unlawful for any person , directly or in- make use of any means or instruments of transpor- communication in ...
... RELATING TO INTERSTATE COMMERCE AND THE MAILS 77e ] ( a ) Unless a registration statement is in effect ty , it shall be unlawful for any person , directly or in- make use of any means or instruments of transpor- communication in ...
Page 13
... relating to a security issued by a foreign government , or subdivision thereof , shall contain the information , and b panied by the documents , specified in Schedule B ; except Commission may by rules or regulations provide that any ...
... relating to a security issued by a foreign government , or subdivision thereof , shall contain the information , and b panied by the documents , specified in Schedule B ; except Commission may by rules or regulations provide that any ...
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... relating to a security other than a security ya foreign government or political subdivision thereof , ntain the information contained in the registration t , but it need not include the documents referred to raphs ( 28 ) to ( 32 ) ...
... relating to a security other than a security ya foreign government or political subdivision thereof , ntain the information contained in the registration t , but it need not include the documents referred to raphs ( 28 ) to ( 32 ) ...
Page 28
... RELATING TO A VIOLATION OF A ND - DESIST ORDER . — In an action to enforce a cease - and- order entered by the Commission pursuant to section h separate violation of such order shall be a separate except that in the case of a violation ...
... RELATING TO A VIOLATION OF A ND - DESIST ORDER . — In an action to enforce a cease - and- order entered by the Commission pursuant to section h separate violation of such order shall be a separate except that in the case of a violation ...
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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