securities act of 1933 excerpts

Securities Act Of 1933(pdf)

... Suggestions Main Table of Contents Securities Act of 1933 Section Classes of Securities under this Title a Exempted securities Except as hereinafter expressly provided, the provisions of this title ... Stat 684 The Securities Lawyer's Deskbook Legislative History Search Page Suggestions Main Table of Contents Securities Act of 1933 Section Registration of Securities a Method of registration ... 1(a)(5), 114 Stat 2763 The Securities Lawyer's Deskbook Search Page Suggestions Main Table of Contents Securities Act of 1933 Section 13 Limitation of Actions No action shall be maintained...

Securities Exchange Act Of 1934

Danh mục: Ngân hàng - Tín dụng

... term "securities laws" means the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley Act of 2002, the Public Utility Holding Company Act of 1935 (15 U.S.C 79a et seq.) ... 1843(k)(4)(H) of Title 12 vii Private securities offerings The bank-I effects sales as part of a primary offering of securities not involving a public offering, pursuant to section 3(b), 4(2), or 4(6) of ... data respecting the terms of settlement of securities transactions, to reduce the number of settlements of securities transactions, or for the allocation of securities settlement responsibilities...

Tài liệu California Organic Products Act of 2003 doc

Danh mục: Tự động hóa

... (NOP) (Section 6517 of the federal Organic Foods Production Act of 1990 (7 U.S.C Sec 6501 et seq.)), and Article (commencing with Section 110810) of Chapter of Part of Division 104 of the Health and ... 30 days of the date the action, or the letter proposing the action The secretary's proceeding shall, insofar as practicable, comply with the provisions of the Administrative Procedure Act, Chapter ... is held, review of the decision of the director may be sought by any person within 30 days of the date of the final order of the director pursuant to Section 1094.5 of the Code of Civil Procedure...

Tài liệu The Bankruptcy Abuse Prevention and Consumer Protection Act of 2005 pdf

Danh mục: Khoa học xã hội

... Elaine Reardon of RAND and Katherine Porter of the University of Iowa College of Law, increased the quality and clarity of this report xiii Abbreviations AO Administrative Office of the U.S Courts ... Prevention and Consumer Protection Act of 2005 BLS Bureau of Labor Statistics C.D Cal Central District of California D Utah District of Utah E.D.N.Y Eastern District of New York EOUST Executive Office ... District of Ohio, District of Utah, and Middle District of Florida The proportion of above-median–income debtors filing under Chapter 13 in the Eastern District of New York, the Western District of...

Tài liệu French Trust Reporting Rules Should Not Apply to U.S. CIVs Regulated under the Investment Company Act of 1940 pptx

Danh mục: Quỹ đầu tư

... major U.S securities laws: the Securities Act of 1933, which requires registration of the fund’s shares and the delivery of a prospectus; the Securities Exchange Act of 1934, which regulates the ... Section 2(a)(36) of the Investment Company Act of 1940 35 Such recital consists in each case of a statement whether the mutual fund reserves freedom of action to engage in activities of such type; ... officers of public companies, officers of mutual funds are required to make certifications and disclosures required by the Sarbanes-Oxley Act For example, officers must certify the accuracy of...

CAT BONDS AND OTHER RISK-LINKED SECURITIES: STATE OF THE MARKET AND RECENT DEVELOPMENTS pdf

Danh mục: Ngân hàng - Tín dụng

... probability of occurrence of 0.01 or less (i.e., a return period of at least 100 years) The higher layers of protection often go unreinsured by ceding companies for two primary reasons—for events of this ... measures of the catastrophic event such as the wind speed and location of a hurricane or the magnitude and location of an earthquake There are a number of factors to consider in the choice of a trigger ... parity, there is no exchange of money at the inception of the contract, only on the occurrence of one of the triggering events The swap also deﬁnes a speciﬁed amount of money to be paid if an event...

UNDER SECTIONS 318 AND 319 OF THE FAIR AND ACCURATE CREDIT TRANSACTIONS ACT OF 2003 docx

Danh mục: Ngân hàng - Tín dụng

... 319 of the Fair and Accurate Credit Transactions Act of 2003, Pub L 108-159, 117 Stat 1952 (“FACT Act ) The FACT Act, which was enacted on December 4, 2003, amends the Fair Credit Reporting Act, ... 319 of the Fair and Accurate Credit Transactions Act of 2003, Pub L 108-159, 117 Stat 1952 (“FACT Act ) The FACT Act, which was enacted on December 4, 2003, amends the Fair Credit Reporting Act, ... notiﬁed of block by consumer reporting agency) 86 See FACT Act § 155 (must report identity theft to creditor; must share information with identity theft victims) 87 See FACT Act § 312 88 See FACT Act...

As Required by Section 702(b) of the Sarbanes-Oxley Act of 2002 potx

Danh mục: Ngân hàng - Tín dụng

... areas of the federal securities laws Several regulations issued by the Commission pursuant to the Securities Act of 1933, 11 the Exchange Act, 12 and the Investment Company Act of See Adoption of ... unrated securities of similar quality).14 In addition, in regulations adopted by the Commission under the Securities Act of 1933, offerings of certain nonconvertible debt, preferred securities, ... with Section 17(b) of the Securities Act of 1933, with respect to disclosure of the receipt of compensation from issuers for rating their securities 19 the marketing by the NRSROs of ancillary services...

CREDIT CARDHOLDERS’ BILL OF RIGHTS ACT OF 2008: Mr. FRANK of Massachusetts, from the Committee on Financial Services, submitted the following ppt

Danh mục: Ngân hàng - Tín dụng

... Cardholders’ Bill of Rights Act of 2008’’, as amended, favorably reported by a record vote of 39 yeas and 27 nays COMMITTEE VOTES Clause 3(b) of rule XIII of the Rules of the House of Representatives ... amendments made by this Act shall apply to all credit card accounts under open end consumer credit plans as of the end of the 1-year period beginning on the date of the enactment of this Act (b) REGULATIONS.—The ... meaning of section 5(b) of the Federal Advisory Committee Act were created by this legislation CONSTITUTIONAL AUTHORITY STATEMENT Pursuant to clause 3(d)(1) of rule XIII of the Rules of the House of...

Rules Implementing Amendments to the Investment Advisers Act of 1940 pptx

Danh mục: Quỹ đầu tư

... Protection Act (“Dodd-Frank Act ) which, among other things, amends certain provisions of the Advisers Act Title IV of the Dodd-Frank Act (“Title IV”) includes most of the amendments to the Advisers Act ... Consumer Protection Act, Pub L No 111-203, 124 Stat 1376 (2010) See section 410 of the Dodd-Frank Act; Advisers Act section 203A See also National Securities Markets Improvement Act of 1996, Pub L ... also section 410 of the Dodd-Frank Act (amended section 203A(a)(2) of the Advisers Act describes a state securities authority as “the securities commissioner (or any agency or office performing...

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AMERICAN RECOVERY AND REINVESTMENT ACT OF 2009 - SMART GRID INVESTMENT GRANT PROGRAM potx

Danh mục: Quỹ đầu tư

... Act of 2007 and is funded by the American Recovery and Reinvestment Act of 2009 (Recovery Act) . The SGIG program and related Recovery Act activities are managed by the U.S. Department of Energy (DOE), Office of Electricity Delivery and Energy Reliability (OE), which ... The American Reinvestment and Recovery Act of 2009 Congress enacted the American Recovery and Reinvestment Act of 2009 (Recovery Act) to create new jobs and save existing ones, stimulate economic activity, and invest in long‐term ... other power companies, vendors, and equipment suppliers. Figure 1 shows the location of the headquarters offices of the 99 lead recipients; these include 47 states, the territory of Guam, and the District of Columbia. The projects actually cover larger areas than indicated by the map. ...

Joint Guidance on the Application of the Family Educational Rights and Privacy Act (FERPA) And the Health Insurance Portability and Accountability Act of 1996 (HIPAA) To Student Health Records docx

Danh mục: Sức khỏe giới tính

... of postsecondary education, which are made or maintained by a physician, psychiatrist, psychologist, or other recognized professional or paraprofessional acting in his professional or paraprofessional ... determination of whether a disclosure meets the requirements of FERPA, the Department of Education’s Family Policy Compliance Office is available to offer technical assistance to school officials ... be shared with health care professionals who are providing treatment to the student, including health care professionals who are not part of or not acting on behalf of the educational institution...

FAIR AND ACCURATE CREDIT TRANSACTIONS ACT OF 2003 pdf

Danh mục: Ngân hàng - Tín dụng

... Transactions Act of 2003); ‘‘(C) with respect to section 1316.2 of title 10 of the Maine Revised Statutes (as in effect on the date of enactment of the Fair and Accurate Credit Transactions Act of ... the date of enactment of the Fair and Accurate Credit Transactions Act of 2003); ‘‘(B) with respect to section 10–1–393(29)(C) of the Georgia Code (as in effect on the date of enactment of the ... 14–1209(a)(1) and 14– 1209(b)(1)(i) of the Commercial Law Article of the Code of Maryland (as in effect on the date of enactment of the Fair and Accurate Credit Transactions Act of 2003); ‘‘(E) with respect...

OMB Report Pursuant to the Sequestration Transparency Act of 2012 (P. L. 112–155) potx

Danh mục: Cao đẳng - Đại học

... Type Office of Civil Rights 005-07-3800 Office of Civil Rights Nondefense Function Discretionary Office of Inspector General 005-08-0900 Office of Inspector General Nondefense Function 15 of 224 ... two percent of Americans to shoulder their fair share of the burden Instead of working to enact a balanced deficit reduction package to avoid the threat of sequestration, some Members of Congress ... necessary OMB REPORT PURSUANT TO THE SEQUESTRATION TRANSPARENCY ACT OF 2012 However, no amount of planning can mitigate the significant impact of the sequestration The destructive across-the-board cuts...

WOMEN’S HEALTH OFFICE ACT OF 2002 pptx

Danh mục: Sức khỏe phụ nữ

... Director of the Congressional Budget Office pursuant to section 402 of the Congressional Budget Act of 1974 CONGRESSIONAL BUDGET OFFICE ESTIMATE Pursuant to clause 3(c)(3) of rule XIII of the Rules of ... Administration Office of Women’s Health Section requires the Secretary to establish an Office of Women’s Health within the Office of the Administrator of HRSA The Director of the Office will (1) ... This Act may be cited as the ‘‘Women’s Health Office Act of 2002’’ SEC HEALTH AND HUMAN SERVICES OFFICE ON WOMEN’S HEALTH (a) ESTABLISHMENT.—Part A of title II of the Public Health Service Act...

GOVERNMENT NETWORK SECURITY ACT OF 2003 doc

Danh mục: An ninh - Bảo mật

... BUDGET OFFICE COST ESTIMATE With respect to the requirements of clause 3(c)(2) of rule XIII of the Rules of the House of Representatives and section 308(a) of the Congressional Budget Act of 1974 ... clause 3(c)(4) of rule XIII of the Rules of the House of Representatives is inapplicable CONSTITUTIONAL AUTHORITY STATEMENT Under clause 3(d)(1) of rule XIII of the Rules of the House of Representatives, ... and with respect to requirements of clause 3(c)(3) of rule XIII of the Rules of the House of Representatives and section 402 of the Congressional Budget Act of 1974, the Committee has received...

AMERICAN TAXPAYER RELIEF ACT OF 2012: PRESIDENT SIGNS ELEVENTH-HOUR AGREEMENT TO AVERT FISCAL CLIFF pdf

Danh mục: Ngân hàng - Tín dụng

... Relief Act of 2012 affects taxpayers Law, Explanation and Analysis of the American Taxpayer Relief Act of 2012 — CCH’s Law, Explanation and Analysis of the American Taxpayer Relief Act of 2012 ... property in lieu of tax credits AFFORDABLE CARE ACT The American Taxpayer Relief Act amends several provisions of the Patient Protection and Affordable Care Act The American Taxpayer Relief Act repeals ... volume discounts eBook/Softcover Combo — Price: $93.75 eBook only — Price: $75.00 Softcover only — Softcover only — Offer #: 05829501 Offer #: 05824501 Buy the eBook, Get the Softcover for Only 25%...

Report and Recommendations Pursuant to Section 133 of the Emergency Economic Stabilization Act of 2008: Study on Mark-To-Market Accounting doc

Danh mục: Kế toán - Kiểm toán

... (26) of the Securities Act of 1933 (the Securities Act ), 15 U.S.C 77g, 77s(a), 77aa(25) and (26); Sections 3(b), 12(b) and 13(b) of the Securities Exchange Act of 1934 (the “Exchange Act ), ... submit to Congress a report of such study before the end of the 90-day period beginning on the date of the enactment of this Act containing the findings and determinations of the Commission, including ... Discussion and Analysis of Financial Condition and Results of Operations Mortgage Servicing Right Office of the Comptroller of the Currency Other Comprehensive Income Office of Thrift Supervision...

ORDER CANCELLING REGISTRATIONS OF CERTAIN INVESTMENT ADVISERS PURSUANT TO SECTION 203(h) OF THE INVESTMENT ADVISERS ACT OF 1940 pdf

Danh mục: Quỹ đầu tư

... 801-69662 801-69724 AMOEBA CAPITAL PARTNERS PTE LTD ANCHOR INVESTMENT PARTNERS LLC ASSOCIATED PROFESSIONAL INVESTMENTS, LLC BEACON CAPITAL MANAGEMENT LIMITED BISCAYNE ADVISORS, INC BLACK KNIGHT ... MORGAN ADVISORS LLC COPLEY SQUARE CAPITAL MANAGEMENT, LLC CORDILLERA ASSET MANAGEMENT CREDICORP SECURITIES INC CREMAC ASSET MANAGEMENT, LLC D LITTLE, L.L.C DANIEL FRISHBERG FINANCIAL SERVICES, ... EMPIRE INVESTMENT ADVISORS INC FAIRSON MANAGEMENT LIMITED FIDUCIARY MANAGEMENT GROUP, LLC FILIPINOFUNDS INVESTMENT MANAGEMENT, LLC FLATFEEADVISORS.COM, INC FORT CAPITAL MANAGEMENT, LLC 801-63002...

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