United States Code, Band 1;Band 3Office of the Law Revision Counsel of the House of Representatives, 1994 |
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Seite 25
... penny stock ( within the meaning of section 78c ( a ) ( 51 ) of this title ) and that— or ( A ) has no specific business plan or Page 25 877g TITLE 15 - COMMERCE AND TRADE.
... penny stock ( within the meaning of section 78c ( a ) ( 51 ) of this title ) and that— or ( A ) has no specific business plan or Page 25 877g TITLE 15 - COMMERCE AND TRADE.
Seite 41
... penny stocks . ( a ) Findings . ( b ) Mandate to facilitate establishment of ... Stock Reform Act of 1990 ' . " Pub . L. 101-429 , title V , § 501 , Oct. 15 ... Penny Stock Reform Act of 1990 ' . " § 78b . Necessity for regulation ...
... penny stocks . ( a ) Findings . ( b ) Mandate to facilitate establishment of ... Stock Reform Act of 1990 ' . " Pub . L. 101-429 , title V , § 501 , Oct. 15 ... Penny Stock Reform Act of 1990 ' . " § 78b . Necessity for regulation ...
Seite 43
... penny stock " means any equity security other than a security that is- ( i ) registered or approved for registration and traded on a national securities ex- change that meets such criteria as the Com- mission shall prescribe by rule or ...
... penny stock " means any equity security other than a security that is- ( i ) registered or approved for registration and traded on a national securities ex- change that meets such criteria as the Com- mission shall prescribe by rule or ...
Seite 44
... penny stock " if such security or class of securities is traded other than on a national securities exchange or through an automated quotation system described in clause ( ii ) of subparagraph ( A ) . ( C ) In exercising its authority ...
... penny stock " if such security or class of securities is traded other than on a national securities exchange or through an automated quotation system described in clause ( ii ) of subparagraph ( A ) . ( C ) In exercising its authority ...
Seite 54
... penny stock , the Commission , by order , shall censure , place limitations on the activities or functions of such person , or suspend for a period not exceeding 12 months , or bar such person from being associated with a broker or ...
... penny stock , the Commission , by order , shall censure , place limitations on the activities or functions of such person , or suspend for a period not exceeding 12 months , or bar such person from being associated with a broker or ...
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action activities added Pub Administration agreement amended Pub AMENDMENTS 1992-Subsec amount application appropriate assistance authorized automobiles award banks broker chapter Coast Guard Commerce Commission Committee Congress contract Department determined edition for text EFFECTIVE DATE employee enactment established Federal agency Federal Reserve System fiscal foreign funds government securities high-performance computing House of Representatives land Landsat Landsat Program loans main edition manufacturer means ment motor vehicle natural gas note under section October 26 Office operation paragraph participation penalty penny stock person prior purposes pursuant to section REFERENCES IN TEXT regulations regulatory Repealed rule SBIR Secretary SECTION REFERRED SECTIONS This section securities dealer Short Title sion Small Business Act Small Business Administration small business concerns standard Stat subchapter subpar subparagraph Subsec subsection substituted Technology term tion Trade trustee United United States Code violation