Compilation of Securities Laws Within the Jurisdiction of the Committee on Commerce: Including Securities Act of 1933, Securities Exchange Act of 1934 ..., Volume 4 |
From inside the book
Results 1-5 of 91
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... underwriters Sec . 10. Affiliations of directors 396 402 Sec . 11. Offers of exchange 404 Sec . 12. Functions and ... underwriting contracts Sec .
... underwriters Sec . 10. Affiliations of directors 396 402 Sec . 11. Offers of exchange 404 Sec . 12. Functions and ... underwriting contracts Sec .
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... underwriting contracts Sec . 16. Changes in board of directors ; provisions relative to strict trusts Sec . 17. Transactions of certain affiliated persons and underwriters Sec . 18. Capital structure Sec . 19. Dividends Sec . 20 ...
... underwriting contracts Sec . 16. Changes in board of directors ; provisions relative to strict trusts Sec . 17. Transactions of certain affiliated persons and underwriters Sec . 18. Capital structure Sec . 19. Dividends Sec . 20 ...
Page 4
... underwriter or among underwriters who are or are to be in privity of contract with an issuer ( or any person directly or indirectly controlling or controlled by an issuer , or under direct or indirect common control with an issuer ) ...
... underwriter or among underwriters who are or are to be in privity of contract with an issuer ( or any person directly or indirectly controlling or controlled by an issuer , or under direct or indirect common control with an issuer ) ...
Page 5
... underwriting of any such undertaking ; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary distributors ' or sellers ' commission . As ...
... underwriting of any such undertaking ; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary distributors ' or sellers ' commission . As ...
Page 10
... underwriter no longer acting as an underwriter in respect of the security in- volved in such transaction ) , except- ( A ) transactions taking place prior to the expiration of forty days after the first date upon which the security was ...
... underwriter no longer acting as an underwriter in respect of the security in- volved in such transaction ) , except- ( A ) transactions taking place prior to the expiration of forty days after the first date upon which the security was ...
Contents
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Common terms and phrases
action affiliate amount application appropriate regulatory agency assets Attorney authority bank Board broker or dealer broker or government business development company centum certificate clearing agency Commis Commission Commodity Exchange Act contract court curities deemed determines directors effect employee erwise exempt Federal Reserve System fees filed foreign government securities broker government securities dealer instrumentality of interstate interstate commerce investment adviser issuer istered means or instrumentality ment municipal securities dealer national securities exchange natural person necessary or appropriate officer pany paragraph party payment penny stock person associated plaintiff proceeding protection of investors provisions public interest public-utility purchase purposes pursuant to section records registration statement request respect rities rule or regulation rules and regulations secu self-regulatory organization sion SIPC specified subparagraph subsection subsidiary company term tion transfer agent trustee underwriter unit investment trust United States Code unlawful violation
Popular passages
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 19 - 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 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 712 - 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.
Page 458 - ... before the Commission, the court may order such additional evidence to be taken before the Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper.