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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 ... - Página 403
por United States, United States. Congress. House. Committee on Energy and Commerce - 1993 - 639 páginas
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Mutual Fund Amendments: Hearings Before the Subcommittee on ..., Parte 2

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1970 - 1004 páginas
...such — " ( 1 ) has willfully made or caused to be made hi any application for registration or report filed with the Commission under this title, or in...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 - 1974 - 36 páginas
...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 páginas
...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 - 1975 - 790 páginas
...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 - 1981 - 548 páginas
...becoming such, (A) has willfully made or caused to be made in any application for registration or report filed with the Commission under this title, or in...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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Reports on Banks Securities Activities of the Securities and Exchange ...

United States. Securities and Exchange Commission - 1977 - 630 páginas
...subsequent to becoming so associated, is subject to Commission administrative sanctions if he: (A) has willfully made or caused to be made in any application...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 - 1977 - 40 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...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 - 1977 - 44 páginas
...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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Compilation of Securities Laws Within the Jurisdiction of the Committee on ...

United States, United States. Congress. House. Committee on Interstate and Foreign Commerce - 1978 - 540 páginas
...a national securities exchange, for the purpose of inducing the purchase or sale of such security, any statement which was at the time and in the light...was made, false or misleading with respect to any material fact, and which he knew or had reasonable ground to believe was so false or misleading. (5)...
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Compilation of Energy-related Legislation, Volumes 1-4

United States - 1979 - 1230 páginas
...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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