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 12
... 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 interstate commerce or of the mails ch security through the use or medium of any pro ...
... 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 interstate commerce or of the mails ch security through the use or medium of any pro ...
Page 13
... statement , shall be to have taken place upon the receipt thereof , but the filing istration statement shall not be deemed to have taken pla it is accompanied by a United States postal money order tified bank check or cash for the ...
... statement , shall be to have taken place upon the receipt thereof , but the filing istration statement shall not be deemed to have taken pla it is accompanied by a United States postal money order tified bank check or cash for the ...
Page 14
... statement ) in connection with the registration statement , but is having prepared or certified such report or valuation nection with the registration statement , the written ch person shall be filed with the registration state- he ...
... statement ) in connection with the registration statement , but is having prepared or certified such report or valuation nection with the registration statement , the written ch person shall be filed with the registration state- he ...
Page 15
... statement , and opport hearing ( at a time fixed by the Commission ) within ten d such notice by personal service or the sending of such tel notice , issue an order prior to the effective date of registr fusing to permit such statement ...
... statement , and opport hearing ( at a time fixed by the Commission ) within ten d such notice by personal service or the sending of such tel notice , issue an order prior to the effective date of registr fusing to permit such statement ...
Page 16
... statement , cted in each case of telegraphic notice to the address statement . CEASE - AND - DESIST PROCEEDINGS [ 77h - 1 ] ( a ) AUTHORITY OF THE COMMISSION . - If the finds , after notice and opportunity for hearing , that violating ...
... statement , cted in each case of telegraphic notice to the address statement . CEASE - AND - DESIST PROCEEDINGS [ 77h - 1 ] ( a ) AUTHORITY OF THE COMMISSION . - If the finds , after notice and opportunity for hearing , that violating ...
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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