Compilation of Securities Laws Within the Jurisdiction of the Committee on Energy and 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, Securities Investor Protection Act of 1970, Volume 4 |
From inside the book
Results 1-5 of 86
Page 3
... voting - trust cer- tificate , certificate of deposit for a security , fractional undi- vided interest in oil , gas , or other mineral rights , any put , call , straddle , option , or privilege on any security , certificate of de- posit ...
... voting - trust cer- tificate , certificate of deposit for a security , fractional undi- vided interest in oil , gas , or other mineral rights , any put , call , straddle , option , or privilege on any security , certificate of de- posit ...
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 ) ...
... 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 ) ...
Page 30
... voting rights , preferences , conversion and exchange rights , rights to dividends , profits , or capital of each class , with re- spect to each other class , including the retirement and liquidation rights or values thereof ; ( 10 ) a ...
... voting rights , preferences , conversion and exchange rights , rights to dividends , profits , or capital of each class , with re- spect to each other class , including the retirement and liquidation rights or values thereof ; ( 10 ) a ...
Page 33
... voting trust certificates , collat- eral trust certificates , certificates of interest or shares in unincor- porated investment trusts , equipment trust certificates , interim or other receipts for certificates , and like securities ...
... voting trust certificates , collat- eral trust certificates , certificates of interest or shares in unincor- porated investment trusts , equipment trust certificates , interim or other receipts for certificates , and like securities ...
Page 44
... voting - trust certificates , or col- lateral - trust certificates , or with respect to certificates of inter- est or shares in an unincorporated investment trust not having a board of directors or of the fixed , restricted management ...
... voting - trust certificates , or col- lateral - trust certificates , or with respect to certificates of inter- est or shares in an unincorporated investment trust not having a board of directors or of the fixed , restricted management ...
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Common terms and phrases
action 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 court curities deemed determine directly or indirectly directors effect employee exempt face-amount certificate company Federal Reserve System filed foreign government securities broker government securities dealer indenture securities interstate commerce investment adviser issuer jurisdiction means or instrumentality ment municipal securities dealer national securities exchange necessary or appropriate officer pany paragraph participant payment penny stock proceeding protection of investors provisions public interest Public Utility purchase purposes pursuant to section reasonable records registered investment company registration statement respect rities rules and regulations rules or regulations secu Securities Act securities issued self-regulatory organization sion SIPC specified subparagraph subsection term thereof tion transactions transfer agent trustee underwriter unit investment trust United States Code unlawful violation
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 15 - 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 570 - 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 108 - 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 616 - Exemption shall not be denied any such corporation 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 577 - 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 170 - 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 403 - ... or any rule or regulation thereunder or any undertaking contained in a registration statement as provided in subsection (d) of Section 15 of this title, which statement 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 242 - No provision of this title imposing any liability shall apply to any act done or omitted in good faith in conformity with any rule, regulation, or order of the Commission, notwithstanding that such rule, regulation, or order may, after such act or omission, be amended or rescinded or be determined by judicial or other authority to be invalid for any reason.
Page 471 - ... (8) contained in or related to examination, operating, or condition reports prepared by, on behalf of, or for the use of an agency responsible for the regulation or supervision of financial institutions; or (9) geological and geophysical information and data, including maps, concerning wells. Any reasonably segregable portion of a record shall be provided to any person requesting such record after deletion of the portions which are exempt under this subsection.