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 |
From inside the book
Results 1-5 of 86
Page 3
... participation in any profit - sharing agreement , col- lateral - trust certificate , preorganization certificate or subscrip- tion , transferable share , investment contract , voting - trust cer- tificate , certificate of deposit for a ...
... participation in any profit - sharing agreement , col- lateral - trust certificate , preorganization certificate or subscrip- tion , transferable share , investment contract , voting - trust cer- tificate , certificate of deposit for a ...
Page 5
... participation in any such undertaking , or participates or has a participation in the direct or indirect underwriting of any such undertaking ; but such term shall not include a person whose interest is limited to a commission from an ...
... participation in any such undertaking , or participates or has a participation in the direct or indirect underwriting of any such undertaking ; but such term shall not include a person whose interest is limited to a commission from an ...
Page 7
... participation in a single trust fund , or in a collective trust fund maintained by a bank , or any security arising out of a contract issued by an insurance company , which interest , participation , or security is issued in connection ...
... participation in a single trust fund , or in a collective trust fund maintained by a bank , or any security arising out of a contract issued by an insurance company , which interest , participation , or security is issued in connection ...
Page 8
... participation issued in connection with a stock bonus , pension , profit - sharing , or annuity plan which covers employees some or all of whom are employees within the meaning of section 401 ( c ) ( 1 ) of the Internal Revenue Code of ...
... participation issued in connection with a stock bonus , pension , profit - sharing , or annuity plan which covers employees some or all of whom are employees within the meaning of section 401 ( c ) ( 1 ) of the Internal Revenue Code of ...
Page 10
... participation interests in such notes- ( i ) where such securities are originated by a savings and loan association , savings bank , commercial bank , or simi- lar banking institution which is supervised and examined by a Federal or ...
... participation interests in such notes- ( i ) where such securities are originated by a savings and loan association , savings bank , commercial bank , or simi- lar banking institution which is supervised and examined by a Federal or ...
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Common terms and phrases
amended amount application appropriate regulatory agency assets bank Board broker or dealer broker or government business development company centum clearing agency Commis Commodity Exchange Act contract corporation court curities debtor determine directly or indirectly directors employee face-amount certificate company Federal Federal Reserve System filed government securities broker government securities dealer holding company indenture securities interstate commerce investment adviser issuer loan mails means or instrumentality ment municipal securities dealer national securities exchange necessary or appropriate officer opportunity for hearing otherwise paragraph participation payment person associated proceeding protection of investors provisions public interest purchase purposes pursuant to section reasonable registered investment company registration statement respect rule or regulation rules and regulations secu Securities Act securities issued security holders self-regulatory organization sion SIPC specified subparagraph subsection term tion transactions trustee unit investment trust United United States Code unlawful unless voting securities
Popular passages
Page 1 - ... 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 55 - 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 391 - ... means the whole or a part of an agency statement of general or particular applicability and future effect designed to implement, interpret, or prescribe law or policy or describing the organization, procedure, or .practice requirements of an agency and includes the approval or prescription for the future of rates, wages, corporate or financial structures or reorganizations thereof, prices, facilities, appliances, services or allowances therefor or of valuations, costs, or accounting, or practices...
Page 482 - States, and such guaranty shall be expressed on the face thereof, and such bonds shall be lawful investments, and may be accepted as security for all fiduciary, trust, and public funds, the investment or deposit of which shall be under the authority or control of the United States or any officer or officers thereof.
Page 393 - Each agency, in accordance with published rules, shall make available for public inspection and copying — (A) final opinions, including concurring and dissenting opinions, as well as orders, made in the adjudication of cases; (B) those statements of policy and interpretations which have been adopted by the agency and are not published in the Federal Register...
Page 337 - ... or any rule or regulation thereunder or any undertaking contained in a registration statement as provided in subsection (d) of Section 15 of this title, which statement was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact...
Page 14 - Whenever it shall appear to the Commission that any person is engaged or about to engage in any acts or practices which constitute or will constitute a violation...
Page 190 - No provision of this title imposing any liability shall apply to any act done or omitted in good faith in conformity with any rule, regulation, or order of the Commission, notwithstanding that such rule, regulation, or order may, after such act or omission, be amended or rescinded or be determined by judicial or other authority to be invalid for any reason.
Page 12 - It shall be unlawful for any person in the offer or sale of any securities by the use of any means or instruments of transportation or communication in interstate commerce or by the use of the mails, directly or indirectly — (1) to employ any device, scheme, or artifice to defraud...
Page 244 - ... such undertaking, or participates or has a participation in the direct or indirect underwriting of any such undertaking; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary distributor's or seller's commission. As used in this paragraph the term "issuer...