Compilation of Securities Laws Within the Jurisdiction of the Committee on Interstate and Foreign 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 : Prepared for the Use of the House Committee on Interstate and Foreign Commerce |
From inside the book
Results 1-5 of 92
Page 1
... dealer " means any person who engages either for all or part of his time , directly or indirectly , as agent , broker , or principal , in the business of offering , buying , selling , or otherwise dealing or trading in securities issued ...
... dealer " means any person who engages either for all or part of his time , directly or indirectly , as agent , broker , or principal , in the business of offering , buying , selling , or otherwise dealing or trading in securities issued ...
Page 34
... broker or dealer with which such a natural person is associated , ( iii ) any registered broker or dealer permitted to designate as a representative such a natural person , and ( iv ) any other registered broker or dealer which agrees ...
... broker or dealer with which such a natural person is associated , ( iii ) any registered broker or dealer permitted to designate as a representative such a natural person , and ( iv ) any other registered broker or dealer which agrees ...
Page 35
... broker or dealer who agrees to be regulated by such association and with respect to whom the associa- tion ... broker " means any person engaged in the business of effecting transactions in securities for the account of others , but does ...
... broker or dealer who agrees to be regulated by such association and with respect to whom the associa- tion ... broker " means any person engaged in the business of effecting transactions in securities for the account of others , but does ...
Page 37
... broker or dealer " or " asso- ciated person of a broker or dealer " means any partner , officer , director , or branch manager of such broker or dealer ( or any person occupying a similar status or performing similar functions ) , any ...
... broker or dealer " or " asso- ciated person of a broker or dealer " means any partner , officer , director , or branch manager of such broker or dealer ( or any person occupying a similar status or performing similar functions ) , any ...
Page 38
... broker , dealer , building and loan , savings and loan , or homestead association , or cooperative bank if such bank , broker , dealer , association , or cooperative bank would be deemed to be a clearing agency solely by reason of ...
... broker , dealer , building and loan , savings and loan , or homestead association , or cooperative bank if such bank , broker , dealer , association , or cooperative bank would be deemed to be a clearing agency solely by reason of ...
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Common terms and phrases
amended amount application appropriate regulatory agency assets authority bank Board broker or dealer centum certificate or opinion clearing agency Commission may prescribe deems necessary directly or indirectly directors District of Columbia employees face-amount certificate company Federal Reserve System filed indenture trustee instrumentality of interstate interstate commerce investment adviser investors or consumers issuer jurisdiction liability mails means or instrumentality ment mortgage municipal securities dealer national securities exchange natural person necessary or appropriate obligor officer opportunity for hearing otherwise pany paragraph payment person associated prescribe as necessary prior proceedings protection of investors public interest purposes qualified reasonable registered investment company registered securities association registration statement regulations or order regulations thereunder respect rule or regulation rules and regulations Securities Act security issued self-regulatory organization specified subparagraph subsection tion transactions transfer agent unit investment trust United United States Code unlawful unless violation
Popular passages
Page 193 - Commission, there to produce records, if so ordered, or to give testimony touching the matter under investigation or in question; and any failure to obey such order of the court may be punished by such court as a contempt thereof.
Page 140 - ... 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 93 - If any provision of this title or the application of such provision to any person or circumstances shall be held invalid, the remainder of the title and the application of such provision to persons or circumstances other than those as to which it is held invalid shall not be affected thereby.
Page 99 - Any person who— (1) offers or sells a security in violation of section 5, or (2) offers or sells a security (whether or not exempted by the provisions of section 3, other than paragraph (2) of subsection (a) thereof), by the use of any means or instruments of transportation or communication in interstate commerce or of the mails...
Page 91 - The judgment and decree of the court affirming, modifying, or setting aside, in whole or in part, any such order of the Commission shall be final, subject to review by the Supreme Court of the United States upon certiorari or certification as provided in sections 239 and 240 of the Judicial Code, as amended (USC, title 28, sees. 346 and 347...
Page A-13 - equity security" means any stock or similar security; or any security convertible, with or without consideration, into such a security, or carrying any warrant or right to subscribe to or purchase such a security; or any such warrant or right; or any other security which the...
Page 91 - Territorial courts, of all suits in equity and actions at law brought to enforce any liability or duty created by, or to enjoin any violation of, this title or the rules, regulations, or orders thereunder.
Page 100 - ... (1) to make use of any means or instruments of transportation or communication in interstate commerce or of the mails to sell such security through the use or medium of any prospectus or otherwise; or (2) to carry or cause to be carried through the mails or in interstate commerce, by any means or instruments of transportation, any such security for the purpose of sale or for delivery after sale.
Page 13 - Such attendance of witnesses, and the production of such documentary evidence, may be required from any place in the United States, at any designated place of hearing.