Compilation of Securities Laws Within the Jurisdiction of the Committee on Energy and 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, Securities Investor Protection Act of 1970, Volum 4
U.S. Government Printing Office, 1988 - 542 sider
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Compilation of Securities Laws Within the Jurisdiction of the Committee on ...
Uten tilgangsbegrensning - 1988
accordance action adviser agency agent amount application assets association authority bank Board broker broker or dealer centum certificate clearing agency Commission contained contract corporation court deemed determine directly directors effect employee engaged exempt Federal filed finds government securities hearing holders holding company indenture indirectly individual institution investment company issued issuer limited loan mails means meeting ment municipal securities necessary or appropriate notice obligations offer officer operations organization otherwise outstanding paragraph participant payment period person prescribe principal prior proceeding proposed protection of investors provisions public interest purchase pursuant reasonable records registered regulatory relating request Reserve respect rules and regulations securities dealer securities exchange sion SIPC specified statement subsection term thereof thereunder tion transactions transfer trustee underwriter United unlawful unless violation voting