Compilation of Securities Laws Within the Jurisdiction of the Committee on Energy and Commerce: Including Securities Act of 1933, Securities Exchange Act of 1934 ...U.S. Government Printing Office, 1989 - Securities |
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Page 24
... agency or organization , or group referred to in section 503 of the Small Business Investment Incentive Act of 1980 , while such forum , agency , organization , or group is carrying out activities in furtherance of the provisions of ...
... agency or organization , or group referred to in section 503 of the Small Business Investment Incentive Act of 1980 , while such forum , agency , organization , or group is carrying out activities in furtherance of the provisions of ...
Page 40
... agency . ( 4 ) SUPPORT FROM OTHER AGENCIES . ( A ) The head of any Federal agency- ( i ) may detail employees to the Commission for the purposes of this section ; and ( ii ) shall provide to the Commission such information as it ...
... agency . ( 4 ) SUPPORT FROM OTHER AGENCIES . ( A ) The head of any Federal agency- ( i ) may detail employees to the Commission for the purposes of this section ; and ( ii ) shall provide to the Commission such information as it ...
Page 46
... agency " means any person who acts as an intermediary in making payments or deliveries or both in connection with transactions in securities or who pro- vides facilities for comparison of data respecting the terms of settlement of ...
... agency " means any person who acts as an intermediary in making payments or deliveries or both in connection with transactions in securities or who pro- vides facilities for comparison of data respecting the terms of settlement of ...
Page 47
... agency of services to its participants or the use of services of the clearing agency by its participants , unless the Commission , by rule , otherwise provides as necessary or appro- priate to assure the prompt and accurate clearance ...
... agency of services to its participants or the use of services of the clearing agency by its participants , unless the Commission , by rule , otherwise provides as necessary or appro- priate to assure the prompt and accurate clearance ...
Page 48
... agency which is a registered clearing agency , or the rules of the Municipal Securities Rulemaking Board . ( 29 ) The term " municipal securities " means securities which are direct obligations of , or obligations guaranteed as to ...
... agency which is a registered clearing agency , or the rules of the Municipal Securities Rulemaking Board . ( 29 ) The term " municipal securities " means securities which are direct obligations of , or obligations guaranteed as to ...
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Common terms and phrases
amount application appropriate regulatory agency assets authority bank Board broker or dealer business development company centum certificate clearing agency Commis Commission Commodity Exchange Act contract corporation court curities debtor determine directly or indirectly directors effect employee exempt face-amount certificate company Federal Federal Reserve System filed government securities broker holding company indenture securities interstate commerce investment adviser issuer mails means or instrumentality ment municipal securities dealer national securities exchange necessary or appropriate officer outstanding paragraph participant payment person associated proceeding protection of investors provisions public interest purchase purposes pursuant to section reasonable registered investment company registration statement respect rules and regulations rules or regulations secu Securities Act securities issued security holders self-regulatory organization sion SIPC specified suant subparagraph subsection term tion transactions transfer agent trustee unit investment trust United States Code unlawful unless violation 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 392 - Treasury is authorized and directed to purchase any notes and other obligations issued hereunder and for that purpose he is authorized to use as a public debt transaction the proceeds from the sale of any securities issued under the Second Liberty Bond Act...
Page 13 - If either party shall apply to the court for leave to adduce additional evidence and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for...
Page 512 - 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 452 - Every party shall have the right to present his case or defense by oral or documentary evidence, to submit rebuttal evidence, and to conduct such cross-examination as may be required for a full and true disclosure of the facts.
Page 519 - 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 149 - Territory or other place subject to the jurisdiction of the United States, to enjoin such acts or practices, and upon a proper showing a permanent or temporary injunction or restraining order shall be; granted without bond.
Page 171 - 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. All process in any such case may be served in the judicial district whereof such person is an inhabitant or wherever he may be found.
Page 421 - 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 69 - 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...