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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Page 14
... otherwise , shall be furnished to every applicant at such reasonable charge as the Commission may prescribe . INFORMATION REQUIRED IN REGISTRATION STATEMENT 1 SEC . 7.2 [ 77g ] ( a ) The registration statement , when relating to a ...
... otherwise , shall be furnished to every applicant at such reasonable charge as the Commission may prescribe . INFORMATION REQUIRED IN REGISTRATION STATEMENT 1 SEC . 7.2 [ 77g ] ( a ) The registration statement , when relating to a ...
Page 14
... otherwise , shall be furnished to every applicant at such reasonable charge as the Commission may prescribe . INFORMATION REQUIRED IN REGISTRATION STATEMENT 1 SEC . 7.2 [ 77g ] ( a ) The registration statement , when relating to a ...
... otherwise , shall be furnished to every applicant at such reasonable charge as the Commission may prescribe . INFORMATION REQUIRED IN REGISTRATION STATEMENT 1 SEC . 7.2 [ 77g ] ( a ) The registration statement , when relating to a ...
Page 30
... otherwise proceed as a single action for any pur- pose . ( B ) EXCEPTION FOR DERIVATIVE ACTIONS . - Notwith- standing subparagraph ( A ) , the term " covered class action " does not include an exclusively derivative action brought by ...
... otherwise proceed as a single action for any pur- pose . ( B ) EXCEPTION FOR DERIVATIVE ACTIONS . - Notwith- standing subparagraph ( A ) , the term " covered class action " does not include an exclusively derivative action brought by ...
Page 36
... otherwise , that the provisions of this title , or of any rule or regulation prescribed under authority thereof , have been or are about to be violated , it may , in its discretion , ei- ther require or permit such person to file with ...
... otherwise , that the provisions of this title , or of any rule or regulation prescribed under authority thereof , have been or are about to be violated , it may , in its discretion , ei- ther require or permit such person to file with ...
Page 38
... otherwise provided in section 308 of the Sarbanes - Oxley Act of 2002 . ( B ) COLLECTION OF PENALTIES . - If a ... otherwise ordered by the court upon motion by the Commission , or , in the case of an administra- tive action , as ...
... otherwise provided in section 308 of the Sarbanes - Oxley Act of 2002 . ( B ) COLLECTION OF PENALTIES . - If a ... otherwise ordered by the court upon motion by the Commission , or , in the case of an administra- tive action , as ...
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Common terms and phrases
action affiliate amendment amount application appropriate regulatory agency assets authority bank holding company Board broker or dealer business development company centum certificate clearing agency Commis Commission Commodity Commodity Exchange Act contract court curities deemed defined in section determines directors effect employee enforcement exempt Federal Federal Reserve System filed financial institution foreign Gramm-Leach-Bliley Act holders investment adviser issuer jurisdiction ment municipal securities dealer national securities exchange necessary or appropriate notice officer pany paragraph participant payment penny stock prescribe proceeding protection of investors provisions public interest purchase purposes pursuant to section records registration statement respect rities rule or regulation rules and regulations Sarbanes-Oxley Act secu Securities Act Securities Exchange Act security futures product self-regulatory organization sion SIPC specified subparagraph subsection subsidiary term thereof tion trading transaction trustee underwriter unit investment trust United States Code violation
Popular passages
Page 394 - ... 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 23 - 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 809 - 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 795 - 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 645 - 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 853 - 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 645 - ... (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 237 - 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 14 - ... 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.