Compilation of securities laws within the jurisdiction of the Committee on Financial Services: 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, Gramm-Leach-Bliley Act, Commodity Futures Modernization Act of 2000, Sarbanes-Oxley Act of 2002
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accordance action activities adviser affiliate agency agreement amendment amount application appropriate assets association authority bank Board broker or dealer certificate Commission conduct contract corporation court dealer deemed defined described determines directors effect employee enforcement engaged Exchange Act exempt extent Federal filed financial institution finds foreign futures holders holding company indenture investment company issued issuer jurisdiction limited material means ment necessary or appropriate notice obligations offer officer operations organization otherwise paragraph participant party payment period person prescribe prior procedures proceeding proposed protection of investors provisions public interest purchase pursuant pursuant to section reasonable records registered regulations regulatory relating request respect rules rules and regulations Secretary Securities Exchange specified statement subparagraph subsection subsidiary term thereof tion trading transaction transfer trustee United unless violation
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 825 - 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 811 - Whoever, having devised or intending to devise any scheme or artifice to defraud, or for obtaining money or property by means of false or fraudulent pretenses, representations, or promises...
Page 661 - To the extent required to prevent a clearly unwarranted invasion of personal privacy, an agency may delete identifying details when it makes available or publishes an opinion, statement of policy, interpretation, staff manual, instruction, or copies of records referred to in subparagraph (D).
Page 869 - Exemption shall not be denied any such association because it has capital stock, if the dividend rate of such stock is fixed at not to exceed the legal rate of interest in the State of incorporation or 8...
Page 661 - ... (B) statements of the general course and method by which its functions are channeled and determined, including the nature and requirements of all formal and informal procedures available; (C) rules of procedure, descriptions of forms available or the places at which forms may be obtained, and instructions as to the scope and contents of all papers, reports, or examinations; (D) substantive rules of general applicability adopted as authorized by law, and statements of general policy or interpretations...
Page 253 - Commission with respect to registration, any statement which 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 4 - ... voting-trust certificates, or collateral-trust certificates, or with respect to certificates of interest or shares in an unincorporated investment trust not having a board of directors (or persons performing similar functions) or of the fixed, restricted management, or unit type, the term "issuer...
Page 26 - ... shall be liable to the person purchasing such security from him, who may sue either at law or in equity in any court of competent jurisdiction, to recover the consideration paid for such security with interest thereon, less the amount of any income received thereon, upon the tender of such security, or for damages if he no longer owns the security.