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accordance action affiliate agency agent amount application appropriate regulatory agency assets associated authority bank Board broker certificate clearing agency Commission concerning contained contract court deemed described determination director effective enforce engaged exempt fact Federal filed finds foreign government securities hearing holders indenture indenture securities investment company issued issuer jurisdiction laws limited mails material means ment municipal securities necessary or appropriate notice offer officer operations organization otherwise outstanding paragraph participation party payment period person prescribe principal prior proceeding proposed protection of investors provisions public interest public utility purchase pursuant reasonable records registered relating respect rule or regulation rules and regulations securities broker securities dealer securities exchange sion specified statement subparagraph subsection subsidiary company term thereof thereunder tion transaction transfer trustee underwriter United unlawful unless utility company violation voting
Page 3 - ... 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 96 - 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 661 - 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 5 - commerce' means trade, traffic, commerce, transportation, or communication among the several States, or between the District of Columbia or any Territory of the United States and any State or other Territory, or between any foreign country and any State, Territory, or the District of Columbia, or within the District of Columbia or any Territory, or between points in the same State but through any other State or any Territory or the District of Columbia or any foreign country. "(7) The term 'affecting...
Page 138 - Commission with respect to registration, any statement which was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact...
Page 710 - Exemption shall not be denied any such corporation because it has capital stock, if the dividend rate of such stock is fixed at not to exceed the legal rate of interest in the State of incorporation or 8...
Page 669 - 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 211 - 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.