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, Selected Provisions of the Gramm-Leach-Bliley Act and the Commodity Futures Modernization Act of 2000 |
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Page 187
... records to be made and kept by municipal securities brokers and municipal securities dealers and the pe- riods for which such records shall be preserved . ( H ) define the term " separately identifiable department or division " , as ...
... records to be made and kept by municipal securities brokers and municipal securities dealers and the pe- riods for which such records shall be preserved . ( H ) define the term " separately identifiable department or division " , as ...
Page 193
... records to the appropriate regulatory agency , and to file with the appropriate regulatory agency , an- nually or ... records to be made and kept by government securities brokers and government securities dealers and shall specify the ...
... records to the appropriate regulatory agency , and to file with the appropriate regulatory agency , an- nually or ... records to be made and kept by government securities brokers and government securities dealers and shall specify the ...
Page 194
... records shall be preserved . ( 2 ) RISK ASSESSMENT FOR HOLDING COMPANY SYSTEMS.- ( A ) OBLIGATIONS TO OBTAIN , MAINTAIN , AND REPORT INFOR- MATION . - Every person who is registered as a government securities broker or government ...
... records shall be preserved . ( 2 ) RISK ASSESSMENT FOR HOLDING COMPANY SYSTEMS.- ( A ) OBLIGATIONS TO OBTAIN , MAINTAIN , AND REPORT INFOR- MATION . - Every person who is registered as a government securities broker or government ...
Page 201
... RECORDS . - Every government securities broker and government securities dealer shall furnish to the Commission on request such records of government securities transactions , including records of the date and time of execu- tion of ...
... RECORDS . - Every government securities broker and government securities dealer shall furnish to the Commission on request such records of government securities transactions , including records of the date and time of execu- tion of ...
Page 202
... records that may be required to be furnished under this paragraph and , for those records available directly from the other appropriate reg- ulatory agencies , to develop a procedure for furnishing such records expeditiously upon the ...
... records that may be required to be furnished under this paragraph and , for those records available directly from the other appropriate reg- ulatory agencies , to develop a procedure for furnishing such records expeditiously upon the ...
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Common terms and phrases
action affiliate amended amount application appropriate regulatory agency assets authority bank holding company Board broker or dealer business development company centum certificate clearing agency Commission Commodity Commodity Exchange Act contract court deemed defined in section determines directors effect employee exempt Federal Reserve System filed financial institution foreign government securities broker Gramm-Leach-Bliley Act holders indenture securities investment adviser issuer jurisdiction ment municipal securities dealer national securities exchange necessary or appropriate pany paragraph participant payment penny stock prescribe protection of investors provisions public interest purchase purposes pursuant to section records registered investment company registration statement respect rities rule or regulation rules and regulations secu Securities Act Securities Exchange Act securities issued 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 3 - ... 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 20 - 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 30 - ... (1) to employ any device, scheme, or artifice to defraud, or (2) to obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading, or (3) to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser.
Page 3 - When used in this title, unless the context otherwise requires — (1) the term "security" means any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas, or other mineral rights, or, in...
Page 160 - 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 247 - 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 533 - ... 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 71 - 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 423 - ... such undertaking, or participates or has a participation in the direct or indirect underwriting of any such undertaking; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary distributor's or seller's commission. As used in this paragraph the term "issuer...