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
... respect to certifi- cates of deposit , voting - trust certificates , or collateral - trust cer- tificates , or with respect to certificates of interest or shares in an unincorporated investment trust not having a board of di- rectors ...
... respect to certifi- cates of deposit , voting - trust certificates , or collateral - trust cer- tificates , or with respect to certificates of interest or shares in an unincorporated investment trust not having a board of di- rectors ...
Page 9
... respect to such securities is not necessary in the public interest and for the protection of investors by reason of the small amount involved or the limited character of the public offer- ing ; but no issue of securities shall be ...
... respect to such securities is not necessary in the public interest and for the protection of investors by reason of the small amount involved or the limited character of the public offer- ing ; but no issue of securities shall be ...
Page 10
... 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 bona fide offered to the public by the issuer or ...
... 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 bona fide offered to the public by the issuer or ...
Page 13
... respect of any class of issuers or securities if it finds that the requirement of such in- formation or document is inapplicable to such class and that disclo- sure fully adequate for the protection of investors is otherwise re- quired ...
... respect of any class of issuers or securities if it finds that the requirement of such in- formation or document is inapplicable to such class and that disclo- sure fully adequate for the protection of investors is otherwise re- quired ...
Page 20
... respect to the statement in such registration statement , report , or valuation , which purports to have been prepared or certified by him ; ( 5 ) every underwriter with respect to such security . If such person acquired the security ...
... respect to the statement in such registration statement , report , or valuation , which purports to have been prepared or certified by him ; ( 5 ) every underwriter with respect to such security . If such person acquired the security ...
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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.