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 27
... thereunder , or a and - desist order entered by the Commission pursuant tion 8A of this title , other than by committing a violati ject to a penalty pursuant to section 21A of the Securit change Act of 1934 , the Commission may bring an ...
... thereunder , or a and - desist order entered by the Commission pursuant tion 8A of this title , other than by committing a violati ject to a penalty pursuant to section 21A of the Securit change Act of 1934 , the Commission may bring an ...
Page 66
... thereunder , of the exchange , by expulsion , suspension , limita- ies , functions , and operations , fine , censure , being barred from being associated with a member , or ing sanction . ules of the exchange are in accordance with the ...
... thereunder , of the exchange , by expulsion , suspension , limita- ies , functions , and operations , fine , censure , being barred from being associated with a member , or ing sanction . ules of the exchange are in accordance with the ...
Page 72
... the p exempt , either unco tions or for stated and the rules and re ( e ) The provisio thereunder shall no credit to or for any customer- ( 1 ) on. 1See footnote 1 on page 72. >erson not a member or a designated representa- ...
... the p exempt , either unco tions or for stated and the rules and re ( e ) The provisio thereunder shall no credit to or for any customer- ( 1 ) on. 1See footnote 1 on page 72. >erson not a member or a designated representa- ...
Page 73
... thereunder . ( e ) The provisions of this section or the rules and regulati thereunder shall not apply on or before July 1 , 1937 , to any 1 1 See footnote 1 on page 72 . lawful for any United States person , or any for- credit to or ...
... thereunder . ( e ) The provisions of this section or the rules and regulati thereunder shall not apply on or before July 1 , 1937 , to any 1 1 See footnote 1 on page 72 . lawful for any United States person , or any for- credit to or ...
Page 74
... thereunder , the loan or other credit hibited or would be prohibited if it had been made n had otherwise occurred in a lender's office or iness in a State . irposes of this subsection— term " United States person " includes a person ...
... thereunder , the loan or other credit hibited or would be prohibited if it had been made n had otherwise occurred in a lender's office or iness in a State . irposes of this subsection— term " United States person " includes a person ...
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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