Compilation of Securities Laws Within the Jurisdiction of the Committee on Energy and Commerce: Including Securities Act of 1933, Securities Exchange Act of 1934 ...U.S. Government Printing Office, 1991 - Securities |
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Page 4
... person directly or indirectly controlling or controlled by an issuer , or under direct or indirect common control with an issuer ) and any underwriter or among underwriters who are or are to be in privity of contract with an issuer ( or ...
... person directly or indirectly controlling or controlled by an issuer , or under direct or indirect common control with an issuer ) and any underwriter or among underwriters who are or are to be in privity of contract with an issuer ( or ...
Page 5
... person to whom the communication was made , and ( b ) a notice , circular , advertisement , letter , or communica- tion in respect of a security shall not be deemed to be a pro- spectus if it states from whom a written prospectus ...
... person to whom the communication was made , and ( b ) a notice , circular , advertisement , letter , or communica- tion in respect of a security shall not be deemed to be a pro- spectus if it states from whom a written prospectus ...
Page 20
... person who was a director of ( or person performing similar functions ) or partner in , the issuer at the time of the filing of the part of the registration statement with respect to which his liability is asserted ; ( 3 ) every person ...
... person who was a director of ( or person performing similar functions ) or partner in , the issuer at the time of the filing of the part of the registration statement with respect to which his liability is asserted ; ( 3 ) every person ...
Page 23
... person who- ( 1 ) offers or sells a security in violation of section 5 , or ( 2 ) offers or sells a security ( whether or not exempted by the provisions of ... person to whom such controlled person is 23 Sec . 15 SECURITIES ACT OF 1933.
... person who- ( 1 ) offers or sells a security in violation of section 5 , or ( 2 ) offers or sells a security ( whether or not exempted by the provisions of ... person to whom such controlled person is 23 Sec . 15 SECURITIES ACT OF 1933.
Page 24
... person to any person to whom such controlled person is liable , unless the controlling person had no knowledge of or reasonable ground to believe in the existence of the facts by reason of which the liability of the controlled person is ...
... person to any person to whom such controlled person is liable , unless the controlling person had no knowledge of or reasonable ground to believe in the existence of the facts by reason of which the liability of the controlled person is ...
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Common terms and phrases
action amount application appropriate regulatory agency assets bank Board broker or dealer business development company centum certificate clearing agency Commis contract court curities deemed 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 jurisdiction ment municipal securities dealer national securities exchange necessary or appropriate officer opportunity for hearing paragraph participant payment penny stock proceeding protection of investors provisions public interest purchase purposes pursuant to section reasonable registered investment company registration statement regulations thereunder respect rule or regulation rules and regulations secu Securities Act securities issued self-regulatory organization sion SIPC specified suant subparagraph subsection subsidiary company term thereof tion transactions transfer agent trustee underwriter unit investment trust United States Code unlawful unless violation voting securities
Popular passages
Page 77 - 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 410 - ... 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 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 18 - ... 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. The Commission may modify its findings as to the facts, by reason of the additional evidence so taken, and it shall file such modified or new findings, which, if supported by substantial evidence, shall be conclusive, and its recommendation, if any, for the modification or setting aside...
Page 18 - 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 the failure to adduce such evidence in the proceeding 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.
Page 389 - State at any designated place of hearing. (c) In case of contumacy by, or refusal to obey a subpena issued to, any person, the Commission may invoke the aid of any court of the United States within the jurisdiction of which such investigation or proceeding is carried on, or where such person resides or carries on business, in requiring the attendance and testimony of witnesses and the production of books, papers, correspondence, memoranda, and other records.