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 27
... thereunder , or a cease - and- desist order entered by the Commission pursuant to section 8A of this title , other than by committing a violation subject to a penalty pursuant to section 21A of the Securities Exchange Act of 1934 , the ...
... thereunder , or a cease - and- desist order entered by the Commission pursuant to section 8A of this title , other than by committing a violation subject to a penalty pursuant to section 21A of the Securities Exchange Act of 1934 , the ...
Page 43
... thereunder for the protection of the public interest and the interests of investors . ( 2 ) REQUIRED SUBJECTS FOR STUDY AND INVESTIGATION . - Such study and investigation shall include an analysis of— ( A ) the extent of improper ...
... thereunder for the protection of the public interest and the interests of investors . ( 2 ) REQUIRED SUBJECTS FOR STUDY AND INVESTIGATION . - Such study and investigation shall include an analysis of— ( A ) the extent of improper ...
Page 65
... thereunder , and the rules of the exchange . ( 2 ) Subject to the provisions of subsection ( c ) of this section , the rules of the exchange provide that any registered broker or dealer or natural person associated with a registered ...
... thereunder , and the rules of the exchange . ( 2 ) Subject to the provisions of subsection ( c ) of this section , the rules of the exchange provide that any registered broker or dealer or natural person associated with a registered ...
Page 66
... thereunder , or the rules of the exchange , by expulsion , suspension , limita- tion of activities , functions , and operations , fine , censure , being suspended or barred from being associated with a member , or any other fitting ...
... thereunder , or the rules of the exchange , by expulsion , suspension , limita- tion of activities , functions , and operations , fine , censure , being suspended or barred from being associated with a member , or any other fitting ...
Page 72
... thereunder . This subsection and the rules and regulations thereunder shall not apply ( A ) to a loan made by a person not in the ordinary course of his business , ( B ) to a loan on an exempted security , ( C ) to a loan to a dealer to ...
... thereunder . This subsection and the rules and regulations thereunder shall not apply ( A ) to a loan made by a person not in the ordinary course of his business , ( B ) to a loan on an exempted security , ( C ) to a loan to a dealer to ...
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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.