 | United States. Securities and Exchange Commission - Securities - 1945 - 1290 pages
...cases here financial statements filed with this Commission pursuant to Its rules and regulations under the Securities Act of 1933 or the Securities Exchange Act of 1934 are prepared In accordance with accounting principles for which there Is no substantial authoritative... | |
 | United States. Supreme Court - Courts - 1988 - 970 pages
...insight to realize that such a plaintiff would pursue his case under RICO rather than do so solely under the Securities Act of 1933 or the Securities Exchange Act of 1934, which provide both express and implied causes of action for violations of the federal securities laws.... | |
 | United States. Congress. Senate. Committee on Finance - United States - 1939 - 1104 pages
...nothing in this to£flect on MlstinE title shall affect (1) the jurisdiction of the Commission under the Securities Act of 1933, or the Securities Exchange Act of 1934, or 494|tat^. "• 88l: the Public Utility Holding Company Act of 1935, over any person, ^ u^sccbs. 2A.... | |
 | United States. Congress. Senate. Committee on the Judiciary - Corporations - 1937 - 846 pages
...doing business in interstate commerce which have not made any public offerings since the enactment of the Securities Act of 1933 or the Securities Exchange Act of 1934, and whose securities are not listed on any national securities exchange. Accordingly, although the... | |
 | United States. Congress. Senate. Committee on the Judiciary - Corporations - 1937 - 546 pages
...doing business in interstate commerce which have not made any public offerings since the enactment of the Securities Act of 1933 or the Securities Exchange Act of 1934, and whose securities are not listed on any national securities exchange. Accordingly, although the... | |
 | United States. Congress. Senate. Banking and Currency Committee - 1938 - 138 pages
...not exceeding 12 months or to expel any member from a registered securities association for violation of the Securities Act of 1933 or the Securities Exchange Act of 1934 or for participation in such a violation; or (3) to remove from office any official of a registered securities... | |
 | United States. Congress. Senate. Committee on Banking and Currency - Brokers - 1938 - 148 pages
...not exceeding 12 months or to expel any member from a registered securities association for violation of the Securities Act of 1933 or the Securities Exchange Act of 1934 or for participation in such a violation; or (3) to remove from office any official of a registered securities... | |
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Act, the Securities Act of 1933, or the Securities Exchange Act of 1934, if such statement is true in fact and if the effect of such registration is not misrepresented. 
