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 8
... transaction or the proceeds of which have been or are to be used for current transactions , and which has a maturity at the time of issuance of not ex- ceeding nine months , exclusive of days of grace , or any renew- al thereof the ...
... transaction or the proceeds of which have been or are to be used for current transactions , and which has a maturity at the time of issuance of not ex- ceeding nine months , exclusive of days of grace , or any renew- al thereof the ...
Page 9
... interest and for the protection of investors . 12 But see section 24 ( d ) of the Investment Company Act of 1940 , infra . 13 15 U.S.C. 661 et seq . EXEMPTED TRANSACTIONS 14 SEC . 4. [ 77d ] The 9 Sec . 4 SECURITIES ACT OF 1933.
... interest and for the protection of investors . 12 But see section 24 ( d ) of the Investment Company Act of 1940 , infra . 13 15 U.S.C. 661 et seq . EXEMPTED TRANSACTIONS 14 SEC . 4. [ 77d ] The 9 Sec . 4 SECURITIES ACT OF 1933.
Page 10
... transactions by a dealer ( including an 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 ...
... transactions by a dealer ( including an 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 ...
Page 11
... Transactions between any of the entities described in sub- paragraph ( A ) ( i ) or ( A ) ( ii ) hereof involving non - assignable con- tracts to buy or sell the foregoing securities which are to be completed within two years , where ...
... Transactions between any of the entities described in sub- paragraph ( A ) ( i ) or ( A ) ( ii ) hereof involving non - assignable con- tracts to buy or sell the foregoing securities which are to be completed within two years , where ...
Page 24
... TRANSACTIONS SEC . 17. [ 77q ] ( a ) It shall be unlawful for any person in the offer or sale of any securities by ... transaction , practice , or course of busi- ness which operates or would operate as a fraud or deceit upon the ...
... TRANSACTIONS SEC . 17. [ 77q ] ( a ) It shall be unlawful for any person in the offer or sale of any securities by ... transaction , practice , or course of busi- ness which operates or would operate as a fraud or deceit upon the ...
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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.