Compilation of Securities Laws Within the Jurisdiction of the Committee on Commerce: Including Securities Act of 1933, Securities Exchange Act of 1934 ..., Volume 4

Capa
U.S. Government Printing Office, 1999 - 733 páginas
0 Críticas
As críticas não são validadas, mas a Google verifica a existência de conteúdo falso e remove-o quando é identificado
 

Opinião das pessoas - Escrever uma crítica

Não foram encontradas quaisquer críticas nos locais habituais.

Páginas seleccionadas

Índice

Court review of orders
19
Information required in prospectus
20
Civil liabilities on account of false registration statement
21
Civil liabilities arising in connection with prospectuses and communications
24
Limitation of actions
25
Fraudulent interstate transactions
28
Exemption from State regulation of securities offerings
29
Special powers of Commission
32
Injunctions and prosecution of offenses
34
Hearings by Commission
36
Unlawful representations
37
Sec 27A Application of safe harbor for forwardlooking statements
43
General exemptive authority
47
Schedule B
51
Proxies voting trusts circular ownership
53
SECURITIES EXCHANGE ACT OF 1934
57
Short title
59
Definitions and application of title
61
Rules regulations and orders
77
Securities and Exchange Commission
80
Sec 4A Delegation of functions by Commission
82
Sec 4B Transfer of functions with respect to assignment of personnel to Chairman
83
Margin requirements
90
Restrictions on borrowing by members brokers and dealers
93
Prohibition against manipulation of security prices
94
Regulation of the use of manipulative and deceptive devices
96
Sec 10A Audit requirements
97
Trading by members of exchanges brokers and dealers
98
Sec 11A National market system for securities securities information processors
101
Registration requirements for securities
107
Periodical and other reports
117
iii
118
Proxies
127
Registration and regulation of brokers and dealers
136
Sec 15A Registered securities associations 149 Sec 15A Registered securities associations Sec 15B Municipal securities
157
Sec 15C Government securities brokers and dealers
164
Directors officers and principal stockholders
178
others
180
transactions
188
Sec 17A National system for clearance and settlement of securities Sec 17B Automated quotation for penny stocks
197
Liability for misleading statements 198 1
198
organizations
199
Liability of controlling persons and persons who aid and abet violations
208
Sec 20A Liability to contemporaneous traders for insider trading
209
Investigations injunctions and prosecution of offenses
210
Sec 21A Civil penalties for insider trading
217
Sec 21B Civil remedies in administrative proceedings
219
Sec 21C Ceaseanddesist proceedings
221
Sec 21D Private securities litigation
223
Sec 21E Application of safe harbor for forwardlooking statements
233
Hearings by Commission
237
Public availability of information
240
General exemptive authority
267
PUBLIC UTILITY HOLDING COMPANY ACT OF 1935
269
Necessity for control of holding companies
271
Definitions
272
Power to make particular exemptions regarding holding companies
280
Transactions by unregistered holding companies
282
companies
284
Declarations by registered holding and subsidiary companies
285
Acquiring interest in electric and gas utility companies serving same territory
287
Acquisition of securities and utility assets and other interests
288
Approval of acquisition of securities and utility assets and other interests
289
Simplification of holding company systems
291
Intercompany loans dividends security transactions sale of utility assets proxies other transactions
295
Service sales and construction contracts
297
Periodic and other reports
300
Liability for misleading statements
302
Officers directors and other affiliates
303
Investigations injunctions enforcement of title and prosecution of offenses
304
Information filed with the Commission
307
Penalties
310
Treatment of foreign utilities
315
Effect on existing
317
Separability of provisions
323
Effective date
334
General definitions
368
Definition of investment company
381
Classification of investment companies
388
Election to be regulated as a business development company
391
Registration of investment companies
394
Affiliations of directors
402
Changes in investment policy
410
Distribution and repurchase of securities
411
Findings
477
Sec 203A State and Federal responsibilities
493
Rules regulations and orders
499
Court review of orders
500
Short title
507
Market Reform Act of 1990 Section 8
545
Title 5 United States Code Sections 551557 704706
551
Commodity Exchange Act Sections 2 4m 7 U S C 2 2a 6m
591
Act of September 28 1962 12 U S C 92aa b
600
Housing and Community Development Act of 1992 Section 1542
608
Farm Credit Act of 1971 Section 8 12 12 U S C 2279aa12
620
Right to Financial Privacy Act of 1978 12 U S C 3401nt3422 623
638
Federal Deposit Insurance Corporation Improvement Act of 1991 Sec
644
Omnibus Small Business Capital Formation Act of 1980 Sections 502
651
Higher Education Act of 1965 Section 4391 20 U S C 108721
669
Act of June 29 1949 Section 3 22 U S C 286k2
675
European Bank for Reconstruction and Development Act as contained
677
Internal Revenue Code of 1986 Sections 103 401 403 404 414 501
711
Regional Rail Reorganization Act of 1973 Section 210g 45 U S C
Direitos de autor

Outras edições - Ver tudo

Palavras e frases frequentes

Passagens conhecidas

Página 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.
Página 19 - 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...
Página 94 - 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...
Página 659 - 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...
Página 5 - commerce' means trade, traffic, commerce, transportation, or communication among the several States, or between the District of Columbia or any Territory of the United States and any State or other Territory, or between any foreign country and any State, Territory, or the District of Columbia, or within the District of Columbia or any Territory, or between points in the same State but through any other State or any Territory or the District of Columbia or any foreign country. "(7) The term 'affecting...
Página 136 - 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...
Página 710 - 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...
Página 667 - 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.
Página 209 - 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.
Página 456 - ... 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.

Informação bibliográfica