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
... transfer of a right or privilege , when originally issued or trans- ferred with a security , giving the holder of such security the right to convert such security into another security of the same issuer or of another person , or giving ...
... transfer of a right or privilege , when originally issued or trans- ferred with a security , giving the holder of such security the right to convert such security into another security of the same issuer or of another person , or giving ...
Page 16
... transfer agent , or is , or was at the time of the alleged misconduct , an associated person of , or a person seeking to become associated with , any of the foregoing . ( d ) REVIEW OF TEMPORARY ORDERS.- ( 1 ) COMMISSION REVIEW . - At ...
... transfer agent , or is , or was at the time of the alleged misconduct , an associated person of , or a person seeking to become associated with , any of the foregoing . ( d ) REVIEW OF TEMPORARY ORDERS.- ( 1 ) COMMISSION REVIEW . - At ...
Page 50
... transferred , loaned , or pledged by bookkeeping entry without physical delivery of securities certificates , or ( ii ) otherwise permits or facilitates the settle- ment of securities transactions or the hypothecation or lending of ...
... transferred , loaned , or pledged by bookkeeping entry without physical delivery of securities certificates , or ( ii ) otherwise permits or facilitates the settle- ment of securities transactions or the hypothecation or lending of ...
Page 51
... transfer , pledge , lend , or hypothecate securities . Such term does not include a person whose only use of a clearing agency is ( A ) through an- other person who is a participant or ( B ) as a pledgee of securi- ties . ( 25 ) The ...
... transfer , pledge , lend , or hypothecate securities . Such term does not include a person whose only use of a clearing agency is ( A ) through an- other person who is a participant or ( B ) as a pledgee of securi- ties . ( 25 ) The ...
Page 53
... transfer agent : ( i ) the Comptroller of the Currency , in the case of a national bank or a bank operating under the Code of Law for the District of Columbia , or a subsidiary of any such bank ; ( ii ) the Board of Governors of the ...
... transfer agent : ( i ) the Comptroller of the Currency , in the case of a national bank or a bank operating under the Code of Law for the District of Columbia , or a subsidiary of any such bank ; ( ii ) the Board of Governors of 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.