 ... 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...  Investment Advisers Act of 1940, as in Effect July 1, 1974 - Página 8por United States. Securities and Exchange Commission - 1974 - 21 páginasVisualização integral - Acerca deste livro
 | United States. Congress. Senate. Committee on Interstate Commerce - 1935 - 1164 páginas
...statement, or document filed pursuant to this Act, or any rule or regulation 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... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1936 - 36 páginas
...proceeding before the Commission with respect to registration pursuant to this subsection any statement which was at the time and in the light of the circumstances...or misleading with respect to any material fact; or (B) has been convicted within ten years preceding the filing of any such application or at any time... | |
 | United States. Securities and Exchange Commission - 1936 - 1320 páginas
...to a special class of corporation, ie, public utility holding companies and their subsidiaries.81 Iw time and in the light of the circumstances under which It was made, false or misleading ritb respect to any material fact. Rult LAS. Solicitation of proaiei to T>e filed. A copy of the form... | |
 | United States. Congress. Senate. Committee on Finance - 1939 - 1104 páginas
...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...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... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1937 - 580 páginas
...pursuant to any provisions of this act, or any rule, regulation, or order thereunder, which statement was at the time and in the light of the circumstances...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... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1937 - 580 páginas
...pursuant to any provisions of this act, or any rule, regulation, or order thereunder, which statement was at the time and in the light of the circumstances...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... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 98 páginas
...pursuant to any provisions of this Act, or any rule, regulation, or order thereunder, which statement was at the time and in the light of the circumstances...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... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 106 páginas
...pursuant to any provisions of this Act, or any rule, regulation, or order thereunder, which statement was at the time and in the light of the circumstances...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... | |
 | United States. Securities and Exchange Commission - 1947 - 1062 páginas
...proceeding before the Commission with respect to registration pursuant to this subsection any statement which was at the time and in the light of the circumstances...misleading with respect to any material fact; ... or (D) has willfully violated any provision of the Securities Act of 1933, as amended, or of this title,... | |
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