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 19
... rules or regulations designate as no necessary or appropriate in the public interest or for t tection of investors . ( b ) In addition to the prospectus permitted or required section ( a ) , the Commission shall by rules or regulations ...
... rules or regulations designate as no necessary or appropriate in the public interest or for t tection of investors . ( b ) In addition to the prospectus permitted or required section ( a ) , the Commission shall by rules or regulations ...
Page 43
... LAWS STUDY . ( a ) FINDINGS . - The Congress finds that- ( 1 ) recent disclosures of securities fraud and insider trading have caused F about the adequacy of Federal securities laws , rules , and regulations ; ( 2 ) Federal securities laws ...
... LAWS STUDY . ( a ) FINDINGS . - The Congress finds that- ( 1 ) recent disclosures of securities fraud and insider trading have caused F about the adequacy of Federal securities laws , rules , and regulations ; ( 2 ) Federal securities laws ...
Page 61
... rules , regulations , and orders , the Commission shall termine that such rule , regulation , or order is consistent w the public interest and the protection of investors . ( 52 ) The term " foreign financial regulatory author means any ...
... rules , regulations , and orders , the Commission shall termine that such rule , regulation , or order is consistent w the public interest and the protection of investors . ( 52 ) The term " foreign financial regulatory author means any ...
Page 72
... rules and regulations with mount of credit that may be initially extended and intained on any security ( other than an exempted › initial extension of credit , such rules and regula- sed upon the following standard : An amount not ...
... rules and regulations with mount of credit that may be initially extended and intained on any security ( other than an exempted › initial extension of credit , such rules and regula- sed upon the following standard : An amount not ...
Page 73
... rules and regulations which the Boar Governors of the Federal Reserve System shall prescribe un subsections ( a ) and ( b ) of this section ; ( 2 ) without collateral or on any collateral other than se rities , except in accordance with ...
... rules and regulations which the Boar Governors of the Federal Reserve System shall prescribe un subsections ( a ) and ( b ) of this section ; ( 2 ) without collateral or on any collateral other than se rities , except in accordance with ...
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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