Compilation of Securities Laws Within the Jurisdiction of the Committee on Interstate and Foreign 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 : Prepared for the Use of the House Committee on Interstate and Foreign CommerceU.S. Government Printing Office, 1978 - 307 páginas |
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Palavras e frases frequentes
accordance action amended amount application assets association authority bank become benefits Board broker or dealer centum certificate Code Commission connection contain contract Corporation court dealer deemed determine directly or indirectly directors District documents effective employees engaged exempt fact Federal filed finds hearing holders holding company income indenture investment adviser investment company issued issuer jurisdiction mails material means meeting ment mortgage municipal securities national securities necessary or appropriate notice obligation offered officer operating organization otherwise outstanding paragraph participant payment period permit person prescribe principal prior proceedings protection of investors provisions public interest purchase pursuant qualified reason record registered registration statement relating Reserve respect rules and regulations Securities Act securities exchange specified subsection term Territory thereof thereunder tion transactions trustee underwriter United unlawful unless violation voting
Passagens conhecidas
Página 193 - Commission, there to produce records, if so ordered, or to give testimony touching the matter under investigation or in question; and any failure to obey such order of the court may be punished by such court as a contempt thereof.
Página 142 - ... 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 91 - If any provision of this title or the application of such provision to any person or circumstances shall be held invalid, the remainder of the title and the application of such provision to persons or circumstances other than those as to which it is held invalid shall not be affected thereby.
Página 101 - Any person who— (1) offers or sells a security in violation of section 5, or (2) offers or sells a security (whether or not exempted by the provisions of section 3, other than paragraph (2) of subsection (a) thereof), by the use of any means or instruments of transportation or communication in interstate commerce or of the mails...
Página 91 - The judgment and decree of the court affirming, modifying, or setting aside, in whole or in part, any such order of the Commission shall be final, subject to review by the Supreme Court of the United States upon certiorari or certification as provided in sections 239 and 240 of the Judicial Code, as amended (USC, title 28, sees. 346 and 347...
Página A-9 - 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...
Página 91 - Territorial courts, of all suits in equity and actions at law brought to enforce any liability or duty created by, or to enjoin any violation of, this title or the rules, regulations, or orders thereunder.
Página 102 - ... (1) to make use of any means or instruments of transportation or communication in interstate commerce or of the mails to sell such security through the use or medium of any prospectus or otherwise; or (2) to carry or cause to be carried through the mails or in interstate commerce, by any means or instruments of transportation, any such security for the purpose of sale or for delivery after sale.
Página 13 - Such attendance of witnesses, and the production of such documentary evidence, may be required from any place in the United States, at any designated place of hearing.
Informação bibliográfica
| Título | Compilation of Securities Laws Within the Jurisdiction of the Committee on Interstate and Foreign 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 ... |
| Autores | United States, United States. Congress. House. Committee on Interstate and Foreign Commerce |
| Editora | U.S. Government Printing Office, 1978 |
| Número de páginas | 307 páginas |
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