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 4
... transfer of such other security upon the exercise right of conversion or subscription shall be deemed a such other security . The term " issuer " means every person who issues or es to issue any security ; except that with respect to ...
... transfer of such other security upon the exercise right of conversion or subscription shall be deemed a such other security . The term " issuer " means every person who issues or es to issue any security ; except that with respect to ...
Page 17
... transfer ager or was at the time of the alleged misconduct , an as person of , or a person seeking to become associated w of the foregoing . ( d ) REVIEW OF TEMPORARY ORDERS.— ( 1 ) COMMISSION REVIEW . - At any time after the ent has ...
... transfer ager or was at the time of the alleged misconduct , an as person of , or a person seeking to become associated w of the foregoing . ( d ) REVIEW OF TEMPORARY ORDERS.— ( 1 ) COMMISSION REVIEW . - At any time after the ent has ...
Page 50
... transferred , loaned , or bookkeeping entry without physical delivery of se- ificates , or ( ii ) otherwise permits or facilitates the of securities transactions or the hypothecation or ecurities without physical delivery of securities ...
... transferred , loaned , or bookkeeping entry without physical delivery of se- ificates , or ( ii ) otherwise permits or facilitates the of securities transactions or the hypothecation or ecurities without physical delivery of securities ...
Page 51
... transfer of such securities ; ( D ) exchanging or co verting such securities ; or ( E ) transferring record ownership securities by bookkeeping entry without physical issuance securities certificates . The term " transfer agent " does ...
... transfer of such securities ; ( D ) exchanging or co verting such securities ; or ( E ) transferring record ownership securities by bookkeeping entry without physical issuance securities certificates . The term " transfer agent " does ...
Page 52
... transfer agen ( i ) th a nation of Law f any such System , Federal holding ( ii ) t company in clause ( iii ) the case surance eral Res ( iv ) ing ager ( C ) Whe cant to beco son request clearing age ( i ) t a nation of Law priate not ...
... transfer agen ( i ) th a nation of Law f any such System , Federal holding ( ii ) t company in clause ( iii ) the case surance eral Res ( iv ) ing ager ( C ) Whe cant to beco son request clearing age ( i ) t a nation of Law priate not ...
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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