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, 1985 - Securities |
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Page 54
... thereunder , and the rules of the exchange . ( 2 ) Subject to the provisions of subsection ( c ) of this section , the rules of the exchange provide that any registered broker or dealer or natural person associated with a registered ...
... thereunder , and the rules of the exchange . ( 2 ) Subject to the provisions of subsection ( c ) of this section , the rules of the exchange provide that any registered broker or dealer or natural person associated with a registered ...
Page 55
... thereunder , or the rules of the exchange , by expulsion , suspension , limita- tion of activities , functions , and operations , fine , censure , being suspended or barred from being associated with a member , or any other fitting ...
... thereunder , or the rules of the exchange , by expulsion , suspension , limita- tion of activities , functions , and operations , fine , censure , being suspended or barred from being associated with a member , or any other fitting ...
Page 57
... thereunder , or the rules of the exchange which any such act or practice , or omission to act , is deemed to violate ; and ( C ) the sanction imposed and the reasons therefor . ( 2 ) In any proceeding by a national securities exchange ...
... thereunder , or the rules of the exchange which any such act or practice , or omission to act , is deemed to violate ; and ( C ) the sanction imposed and the reasons therefor . ( 2 ) In any proceeding by a national securities exchange ...
Page 61
... thereunder . This subsection and the rules and regulations thereunder shall not apply ( A ) to a loan made by a person not in the ordinary course of his business , ( B ) to a loan on an exempted security , ( C ) to a loan to a dealer to ...
... thereunder . This subsection and the rules and regulations thereunder shall not apply ( A ) to a loan made by a person not in the ordinary course of his business , ( B ) to a loan on an exempted security , ( C ) to a loan to a dealer to ...
Page 62
... thereunder shall not apply on or before July 1 , 1937 , to any loan or extension of credit made prior to the enactment of this title or to the maintenance , renewal , or extension of any such loan or credit , except to the extent that ...
... thereunder shall not apply on or before July 1 , 1937 , to any loan or extension of credit made prior to the enactment of this title or to the maintenance , renewal , or extension of any such loan or credit , except to the extent that ...
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Common terms and phrases
affiliated person amended amount application appropriate regulatory agency assets bank bank holding company Board broker or dealer business development company centum clearing agency Commis contract corporation court curities debtor directly or indirectly directors employee face-amount certificate company Federal Federal Reserve System filed indenture securities instrumentality of interstate interstate commerce investment adviser investors or consumers issuer mails means or instrumentality ment municipal securities dealer national securities exchange necessary or appropriate obligor officer opportunity for hearing otherwise paragraph participant payment prescribe as necessary proceeding protection of investors provisions public interest public-utility purchase purposes pursuant to section reasonable registered investment company registration statement regulations thereunder respect rule or regulation rules and regulations secu Securities Act securities issued security holders self-regulatory organization sion specified subparagraph subsection subsidiary company term tion transactions trustee unit investment trust United States Code unlawful unless voting securities
Popular passages
Page 320 - 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 321 - Circuit Court of Appeals of the United States, within any circuit wherein such person resides or has his principal place of business, or in the United States Court of Appeals for the District of Columbia, by filing in such court, within sixty days after the entry of such order, a written petition praying that the order of the Commission be modified or set aside in whole or in part.
Page 253 - ... 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 139 - 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. The Commission may transmit such evidence as may be available concerning such acts or practices to the Attorney General^ who may, in his discretion, institute the necessary criminal proceedings under this title.
Page 369 - Such notes or other obligations shall bear interest at a rate determined by the Secretary of the Treasury, taking into consideration the current average market yield on outstanding marketable obligations of the United States of comparable maturities during the month preceding the issuance of the notes or other obligations. The Secretary of the Treasury...
Page 34 - Their successors shall be appointed each for a term of five years from the date of the expiration of the term for which his predecessor was appointed, except that any person appointed to fill a vacancy occurring prior to the expiration of the term of which his predecessor was appointed shall be appointed only for the unexpired term of such predecessor.
Page 465 - State of incorporation or 8 percent per annum, whichever is greater, on the value of the consideration for which the stock was issued, and if substantially all such stock (other than nonvoting preferred stock, the owners of which are not entitled or permitted to participate, directly or indirectly, in the profits of the corporation, on dissolution or otherwise, beyond the fixed dividends) is owned by such association, or members thereof; nor shall exemption be denied any such corporation because...
Page 16 - 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 the failure to adduce such evidence in the proceeding before the Commission, the court may order such additional evidence to be taken before the Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper.
Page 22 - 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 397 - ... 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...