Compilation of Securities Laws Within the Jurisdiction of the Committee on Energy and Commerce: Including Securities Act of 1933, Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, Trust Indenture Act of 1939, Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970 |
From inside the book
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Page 6
... agent for such company, in his capacity as such. (14) The term "separate account" means an account established and maintained by an insurance company pursuant to the laws of any State or territory of the United States, the District of ...
... agent for such company, in his capacity as such. (14) The term "separate account" means an account established and maintained by an insurance company pursuant to the laws of any State or territory of the United States, the District of ...
Page 5
... agent , broker , or principal , in the business of offering , buying , selling , or otherwise dealing or trading in securities issued by another person . ( 13 ) The term " insurance company " means 5 Sec . 2 SECURITIES ACT OF 1933.
... agent , broker , or principal , in the business of offering , buying , selling , or otherwise dealing or trading in securities issued by another person . ( 13 ) The term " insurance company " means 5 Sec . 2 SECURITIES ACT OF 1933.
Page 6
... agent for such company , in his capacity as such . ( 14 ) The term " separate account " means an account estab- lished and maintained by an insurance company pursuant to the laws of any State or territory of the United States , the Dis ...
... agent for such company , in his capacity as such . ( 14 ) The term " separate account " means an account estab- lished and maintained by an insurance company pursuant to the laws of any State or territory of the United States , the Dis ...
Page 26
... agent in the United States authorized to receive notice ; ( 4 ) the names and addresses of the directors or persons perform- ing similar functions , and the chief executive , financial and ac- counting officers , chosen or to be chosen ...
... agent in the United States authorized to receive notice ; ( 4 ) the names and addresses of the directors or persons perform- ing similar functions , and the chief executive , financial and ac- counting officers , chosen or to be chosen ...
Page 31
... agent , if any , in the United States ; ( 8 ) the estimated net proceeds to be derived from the sale in the United States of the security to be offered ; ( 9 ) the price at which it is proposed that the security shall be of- fered in ...
... agent , if any , in the United States ; ( 8 ) the estimated net proceeds to be derived from the sale in the United States of the security to be offered ; ( 9 ) the price at which it is proposed that the security shall be of- fered in ...
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Common terms and phrases
amount application appropriate regulatory agency assets bank Board broker or dealer broker or government business development company centum clearing agency Commis Commission Commodity Exchange Act contract corporation court curities debtor determine directly or indirectly directors effect employee exempt face-amount certificate company Federal Reserve System filed government securities broker government securities dealer holding company indenture securities interstate commerce investment adviser issuer mails means or instrumentality ment municipal securities dealer national securities exchange necessary or appropriate officer otherwise paragraph participant payment person associated proceeding protection of investors provisions public interest purchase purposes pursuant to section reasonable registered investment company registration statement respect rule or regulation rules and regulations secu Securities Act securities issued security holders self-regulatory organization sion SIPC specified subparagraph subsection term tion transactions transfer agent trustee unit investment trust United States Code unlawful voting securities
Popular passages
Page 263 - ... security", or any certificate of interest or participation in, temporary or interim certificate for, receipt for, guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing.
Page 15 - If either party shall apply to the court for leave to adduce additional evidence and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for...
Page 491 - Whoever, having devised or intending to devise any scheme or artifice to defraud, or for obtaining money or property by means of false or fraudulent pretenses, representations, or promises...
Page 434 - Every party shall have the right to present his case or defense by oral or documentary evidence, to submit rebuttal evidence, and to conduct such cross-examination as may be required for a full and true disclosure of the facts.
Page 497 - States, and such guaranty shall be expressed on the face thereof, and such bonds shall be lawful investments, and may be accepted as security for all fiduciary, trust, and public funds, the investment or deposit of which shall be under the authority or control of the United States or any officer or officers thereof.
Page 154 - Territory or other place subject to the jurisdiction of the United States, to enjoin such acts or practices, and upon a proper showing a permanent or temporary injunction or restraining order shall be; granted without bond.
Page 409 - Each agency, in accordance with published rules, shall make available for public inspection and copying — (A) final opinions, including concurring and dissenting opinions, as well as orders, made in the adjudication of cases; (B) those statements of policy and interpretations which have been adopted by the agency and are not published in the Federal Register...
Page 74 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails or of any facility of any national securities exchange...
Page 24 - Whenever it shall appear to the Commission that any person is engaged or about to engage in any acts or practices which constitute or will constitute a violation...
Page 214 - No provision of this title imposing any liability shall apply to any act done or omitted in good faith in conformity with any rule, regulation, or order of the Commission, notwithstanding that such rule, regulation, or order may, after such act or omission, be amended or rescinded or be determined by judicial or other authority to be invalid for any reason.