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Looking for : securities act
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D R A F T ERA 7
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AN ACT to provide for the protection of investors in securities through a regional. Eastern Caribbean Securities Regulatory Commission, by regulating the securities. market, exchanges and persons engaged in securities business, and by regulating ...
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Securities Exchange Act of 1934
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SECURITIES EXCHANGE ACT OF 1934. ties the functions commonly performed ... (b), 4(2), or 4(5) of the Securities. Act of 1933 or the rules and regulations issued ...
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Kansas Uniform Securities Act
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3(a)(5)(C) of the securities exchange act of 1934 (15. U.S.C. sections 78c(a)(4) and (5) ... security" means a security. that is, or upon completion of a transaction will be, a. covered security under section 18(b) of the securities. act of ...
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UNIFORM SECURITIES ACT
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DRAFTING COMMITTEE ON UNIFORM SECURITIES ACT. RICHARD B. SMITH, 450 Lexington Avenue, New ... The need to modernize the Uniform Securities Act is a consequence of a ...
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UNIFORM SECURITIES ACT (1956), AS AMENDED
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section is substantially the Securities and Exchange. Commission's Rule X-10B-5, 17 Code Fed. Regs. § 240.10b-5, which in turn was modeled upon § 17(a) of. the Securities Act of 1933, 15 U.S.C. § 77q(a), except ... (3) acting as principal for his own account, knowingly to sell any security to or purchase ...
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Securities Act
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In this Act (a) "adviser" means a person engaging in, or holding himself, herself. or ... Securities Act. understanding, who holds in total a sufficient number of the. voting rights ...
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