Securities Regulation: Selected Statutes, Rules and FormsWest Publishing Company, 2002 - Securities |
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Common terms and phrases
accredited investor affiliate amendment amount application appropriate regulatory agency assets bank broker or dealer clearing agency Commis Commission convertible securities deemed described directors disclosure document effective employee equity securities executive officer exemption Federal Federal Reserve System financial statements fiscal foreign Form government securities broker Gramm-Leach-Bliley Act graph hearing officer incorporated by reference information required Investment Company issued limited market risk material ment municipal securities dealer national securities exchange necessary or appropriate offering price options participation partnership party penny stock period person prior proceeding prospectus protection of investors public interest purchase purposes pursuant to Rule pursuant to section regis registrant's registration statement Regulation S-K required by Item respect rities rule or regulation rules and regulations secu Securities Act security holders self-regulatory organization sion small business issuer specified suant subparagraph subsidiaries term thereof trading underwriter United States Code