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 100
Page 12
... unless each of the conditions for sale contained in subparagraphs ( A ) ( 1 ) ( a ) through ( c ) are satisfied . ( 6 ) transactions involving offers or sales by an issuer solely to one or more accredited investors , if the aggregate ...
... unless each of the conditions for sale contained in subparagraphs ( A ) ( 1 ) ( a ) through ( c ) are satisfied . ( 6 ) transactions involving offers or sales by an issuer solely to one or more accredited investors , if the aggregate ...
Page 18
... unless the Commission determines that notice and hearing prior to entry would be im- practicable or contrary to the public interest . A temporary order shall become effective upon service upon the respondent and , unless set aside ...
... unless the Commission determines that notice and hearing prior to entry would be im- practicable or contrary to the public interest . A temporary order shall become effective upon service upon the respondent and , unless set aside ...
Page 19
... unless specifically ordered by the court , oper- ate as a stay of the Commission's order . ( 4 ) EXCLUSIVE REVIEW . - Section 9 ( a ) of this title shall not apply to a temporary order entered pursuant to this section . ( e ) AUTHORITY ...
... unless specifically ordered by the court , oper- ate as a stay of the Commission's order . ( 4 ) EXCLUSIVE REVIEW . - Section 9 ( a ) of this title shall not apply to a temporary order entered pursuant to this section . ( e ) AUTHORITY ...
Page 24
... unless the person who has be- come liable was , and the other was not , guilty of fraudulent mis- representation . ( 2 ) ( A ) The liability of an outside director under subsection ( e ) shall be determined in accordance with section ...
... unless the person who has be- come liable was , and the other was not , guilty of fraudulent mis- representation . ( 2 ) ( A ) The liability of an outside director under subsection ( e ) shall be determined in accordance with section ...
Page 25
... unless brought within one year after the discovery of the untrue statement or the omission , or after such discovery should have been made by the ex- ercise of reasonable diligence , or , if the action is to enforce a liabil- ity ...
... unless brought within one year after the discovery of the untrue statement or the omission , or after such discovery should have been made by the ex- ercise of reasonable diligence , or , if the action is to enforce a liabil- ity ...
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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.