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" ... 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... "
Compilation of Securities Laws Within the Jurisdiction of the Committee on ... - Page 273
by United States - 1987
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High Interest Rates, Hearings Before ..., 91-1 ..., March 25 and 26, and ...

United States. Congress. Senate. Committee on Banking and Currency - 1969 - 142 pages
...public interest, any person from serving or acting as an employee, officer, director, member of am advisory board, investment adviser or depositor of,...circumstances under which it was made false or misleading with restpect to any material fact, or has omitted to state in any such registration statement, application,...
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Investment Company Amendments Act of 1969: Hearings Before the Committee on ...

United States. Congress. Senate. Committee on Banking and Currency - Investment advisors - 1969 - 514 pages
...registration statement, application or report filed 13 with the Commission under this title any statement 14 which was at the time and in the light of the circumstances under which it was made false or misleading 16 with respect to any material fact, or has omitted to 17 state in any such registration statement,...
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Mutual Fund Amendments: Hearings Before the Subcommittee on Commerce ..., Part 2

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - Mutual funds - 1970 - 1004 pages
...Commission under this title, or in any proceeding before the Commission with respect to registration, any statement which was at the time and in the light...or misleading with respect to any material fact, or who has omitted 54 1 to state in any such application or report any material 2 fact which is required...
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Investment Advisers Act of 1940, as in Effect July 1, 1974

United States. Securities and Exchange Commission - Securities - 1974 - 36 pages
...Public Law 91-547, lec. 24 (c), 84 Stat. 1481. Sec. 20S(e)(l) SECURITIES AND EXCHANGE COMMISSION merit which was at the time and in the light of the circumstances...or misleading with respect to any material fact, or who has omitted to state in any such application or report any material fact which is required to be...
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Legal Fees: Hearings Before the Subcommittee on Representation of Citizen ...

United States. Congress. Senate. Committee on the Judiciary, United States. Congress. Senate. Judiciary Committee - 1974 - 1072 pages
...registration statement as provided in subsection (d) of section 78o of this title, which statement was at the time and in the light of the circumstances...it was made false or misleading with respect to any material fact, shall lu» liable to any i>erson (not knowing that such statement was false or misleading)...
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Securities Acts Amendments of 1975: Hearings Before the Subcommittee on ...

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities - Government publications - 1975 - 790 pages
...clearing agoten, 'ir in any proceeding before, the registered clearing agency, any statement tchich wax at the time and in the light of the circumstances...respect to any material fact, or has omitted to state in ani/ «neh application or report any material fact ichichis required to be stateti therein." In addition...
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Laws Relating to Securities Commission, Exchanges and Holding Companies

United States - Corporation law - 1981 - 548 pages
...Commission under this title, or in any proceeding before the Commission with respect to registration, any statement which was at the time and in the light...material fact, or has omitted to state in any such application or report any material fact which is required to be stated therein. "(B) has been conjvicted...
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Reports on Banks Securities Activities of the Securities and Exchange ...

United States. Securities and Exchange Commission - Banking law - 1977 - 630 pages
...Commission under this title, or in any proceeding before the Commission with respect to registration, any statement which was at the time and in the light...with respect to any material fact, or has omitted (footnote continued on next page) - 122 federal securities laws and the rules thereunder. Upon such...
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Trust Indenture Act of 1939 as in Effect June 4, 1975

United States - Investments - 1977 - 40 pages
...pursuant to any provisions of this title, or any rule, regulation, or order thereunder, which statement was at the time and in the light of the circumstances...or misleading with respect to any material fact, or who shall omit to state any material fact required to be stated therein or necessary to make the statements...
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Public Utility Holding Company Act of 1935: As Amended June 4, 1975

United States, United States. Securities and Exchange Commission - Public utility holding companies - 1977 - 44 pages
...pursuant to any provision of this title, or any rule, regulation, or order thereunder, which statement was at the time and in the light of the circumstances...it was made false or misleading with respect to any material fact shall be liable in the same manner, to the same extent, and subject to the same limitations...
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