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 11
... specified in subparagraph ( A ) ( i ) stitution described in such subparagraph or to ance company subject to the supervision of the commissioner , or any agency or officer perfor function , of any State or territory of the United the ...
... specified in subparagraph ( A ) ( i ) stitution described in such subparagraph or to ance company subject to the supervision of the commissioner , or any agency or officer perfor function , of any State or territory of the United the ...
Page 13
... specified in Schedule A , a 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 ...
... specified in Schedule A , a 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 ...
Page 16
... specify , with such provision , rule , or regula- pect to any security , any issuer , or any other person . ING . - The ... specified in e instituting proceedings pursuant to subsection ( a ) , or nuation thereof , is likely to result in ...
... specify , with such provision , rule , or regula- pect to any security , any issuer , or any other person . ING . - The ... specified in e instituting proceedings pursuant to subsection ( a ) , or nuation thereof , is likely to result in ...
Page 53
... specified in clause ( i ) or ( iii ) of this su paragraph , or a subsidiary or a department or divisi of such subsidiary ; ( iii ) the Federal Deposit Insurance Corporation , the case of a bank insured by the Federal Deposit I surance ...
... specified in clause ( i ) or ( iii ) of this su paragraph , or a subsidiary or a department or divisi of such subsidiary ; ( iii ) the Federal Deposit Insurance Corporation , the case of a bank insured by the Federal Deposit I surance ...
Page 56
... specified has willfully for members with a memb quired to be proceeding b ment which cumstances with respect in any such fact which is ( 40 ) The ter rules and regula lations prescribe to financial resp ignated by the C cial ...
... specified has willfully for members with a memb quired to be proceeding b ment which cumstances with respect in any such fact which is ( 40 ) The ter rules and regula lations prescribe to financial resp ignated by the C cial ...
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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