Securities Regulation: Selected Statutes, Rules, and FormsThomas Lee Hazen |
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Contents
Index | 2 |
Rules and Regulations Under Securities Act of 1933 | 46 |
Rule | 51 |
Copyright | |
72 other sections not shown
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Common terms and phrases
accepted accounting principles affiliate aggregate amount applicable asset-backed securities assets bank broker or dealer class of securities Commission compensation convertible securities deemed defined in Rule described determination disclosed document employee equity securities exemption Federal filed pursuant financial statements fiscal Form 8-K free writing prospectus government securities broker government securities dealer Gramm-Leach-Bliley Act hearing officer incorporated by reference information required Instructions to Item Investment Company Act issued limited partnership market risk material municipal securities dealer national securities exchange necessary or appropriate offering price options participant partnership party penny stock period person prior proceeding protection of investors purchase purposes pursuant to paragraph pursuant to Rule pursuant to section registrant's registration statement Regulation S-K required by Item required by paragraph respect roll-up transaction rules and regulations Securities Act Securities Exchange Act security futures products security holders small business issuer subparagraph subsidiaries term thereof underwriter