Federal Securities Code: Tentative Draft, Թողարկում 1-3The Institute, 1972 |
From inside the book
Արդյունքներ 86–ի 1-ից 3-ը:
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... company . ] " Registered holding company " means a company registered under sec- tion 1203 . SOURCE : Holding Co. Act § 2 ( a ) ( 12 ) . Sec . 287. [ Registered investment company . ] " Regis- tered investment company " means a company ...
... company . ] " Registered holding company " means a company registered under sec- tion 1203 . SOURCE : Holding Co. Act § 2 ( a ) ( 12 ) . Sec . 287. [ Registered investment company . ] " Regis- tered investment company " means a company ...
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... investment company's offering statement , and ( 2 ) suspend or revoke the investment com- pany's registration . See also section 1513 ( b ) ( 5 ) . SOURCE : Inv . Co. Act $ 14 ( a ) . ( i ) [ Investment companies : violations . ] If the ...
... investment company's offering statement , and ( 2 ) suspend or revoke the investment com- pany's registration . See also section 1513 ( b ) ( 5 ) . SOURCE : Inv . Co. Act $ 14 ( a ) . ( i ) [ Investment companies : violations . ] If the ...
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Tentative Draft American Law Institute. company , or a principal underwriter for a registered open- end company , unit investment trust , or face - amount certifi- cate company ( or an affiliate of an investment company ad- viser or of ...
Tentative Draft American Law Institute. company , or a principal underwriter for a registered open- end company , unit investment trust , or face - amount certifi- cate company ( or an affiliate of an investment company ad- viser or of ...
Բովանդակություն
Reporters Introductory Memorandum | xiii |
270 | xix |
The American Law Institutes Federal Securities Code Project | xxix |
28 այլ բաժինները չեն ցուցադրվում
Common terms and phrases
1st sentence 2d Cir 2d sentence Act Rule action amendment American Law Institute apply bank blue sky laws broker or dealer broker-dealer buyer causation cert civil liability clause Code Code's codification Commis Commission Commission's concept convertible securities corporation court defendant defined definition deleted directors disclosure distribution statement draft effect exchange exemption extent Federal fraud holding company indenture investment adviser investment company investors issuer jurisdiction limited offering Loss measure of damages ment misrepresentation NASD offering statement one-year registrant pany pari delicto person plaintiff prospectus proxy purchase purposes pursuant reasonable reference registration statement rescission respect rule or order rule-making rulemaking authority scienter Securities Act security holders sell seller sion solicitation source provisions specified in section statutes substantially Supp tender request tion trading transactions Trust Ind underwriter Uniform Securities Act United unlawful violation