Compilation of Securities Laws Within the Jurisdiction of the Committee on Financial Services: Including Securities Act of 1933, Securities Exchange Act of 1934 ..., Volume 4U.S. Government Printing Office, 2003 |
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action affiliate amount application appropriate regulatory agency assets authority bank holding company Board broker or dealer business development company centum certificate clearing agency Commis Commission Commodity Commodity Exchange Act contract court curities deemed defined in section determines directors effect employee enforcement exempt Federal Federal Reserve System filed financial institution foreign Gramm-Leach-Bliley Act holders investment adviser issuer jurisdiction means ment municipal securities dealer national securities exchange necessary or appropriate notice officer pany paragraph participant payment penny stock prescribe proceeding protection of investors provisions public interest purchase purposes pursuant to section records registration statement respect rities rule or regulation rules and regulations Sarbanes-Oxley Act Secretary secu Securities Act Securities Exchange Act security futures product self-regulatory organization sion SIPC specified subparagraph subsection subsidiary term thereof tion trading transaction trustee underwriter unit investment trust United States Code violation