Compilation of Securities Laws Within the Jurisdiction of the Committee on Energy and Commerce: Including Securities Act of 1933, Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, Trust Indenture Act of 1939, Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970, Volume 4 |
From inside the book
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Page 9
... commis- sioner , or any agency or officer performing like functions , of any State or Territory of the United States or the District of Columbia ; 12 ( 9 ) Any security exchanged by the issuer with its existing se- curity holders ...
... commis- sioner , or any agency or officer performing like functions , of any State or Territory of the United States or the District of Columbia ; 12 ( 9 ) Any security exchanged by the issuer with its existing se- curity holders ...
Page 13
... Commis- sion may by rules or regulations provide that any such information or document need not be included in respect of any class of issuers or securities if it finds that the requirement of such information or document is ...
... Commis- sion may by rules or regulations provide that any such information or document need not be included in respect of any class of issuers or securities if it finds that the requirement of such information or document is ...
Page 24
... Commis- sion shall conduct an annual conference as well as such other meetings as are deemed necessary , to which representatives from such securities associations , securities self - regulatory organizations , agencies , and private ...
... Commis- sion shall conduct an annual conference as well as such other meetings as are deemed necessary , to which representatives from such securities associations , securities self - regulatory organizations , agencies , and private ...
Page 31
... Commis- sion shall immediately be notified of such variation ; ( 10 ) all commissions paid or to be paid , directly or indirectly , by the issuer to the underwriters in respect of the sale of the security to be offered . Commissions ...
... Commis- sion shall immediately be notified of such variation ; ( 10 ) all commissions paid or to be paid , directly or indirectly , by the issuer to the underwriters in respect of the sale of the security to be offered . Commissions ...
Page 49
... Commis- sion ; and ( iv ) the Commission in all other cases . ( D ) When used with respect to an institutional invest- ment manager which is a bank the deposits of which are insured in accordance with the Federal Deposit Insurance Act ...
... Commis- sion ; and ( iv ) the Commission in all other cases . ( D ) When used with respect to an institutional invest- ment manager which is a bank the deposits of which are insured in accordance with the Federal Deposit Insurance Act ...
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Common terms and phrases
affiliated person amended amount application appropriate regulatory agency assets bank bank holding company Board broker or dealer business development company centum clearing agency Commis contract corporation court curities debtor directly or indirectly directors employee face-amount certificate company Federal Federal Reserve System filed indenture securities instrumentality of interstate interstate commerce investment adviser investors or consumers issuer mails means or instrumentality ment municipal securities dealer national securities exchange necessary or appropriate obligor officer opportunity for hearing otherwise paragraph participant payment prescribe as necessary proceeding protection of investors provisions public interest public-utility 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 security holders self-regulatory organization sion specified subparagraph subsection subsidiary company term tion transactions trustee unit investment trust United States Code unlawful unless voting securities