 | United States. Securities and Exchange Commission - 1945 - 1290 lapas
...customer, or (3) that will permit such securities to be hypothecated, or subjected to any lien or claim of the pledgee for a sum in excess of the aggregate Indebtedness of such customers In respect of such securities in contravention of rules and regulations of the Commission.6 The registrant... | |
 | United States. Securities and Exchange Commission - 1956 - 900 lapas
...customer, or (3) that will permit such securities to be hypothecated, or subjected to any lien or claim of the pledgee, for a sum in excess of the aggregate indebtedness of such customers in respect of such securities. (d) To lend or arrange for the lending of any securities carried for... | |
 | United States - 1938 - 48 lapas
...such securities to be hypothecated, or subjected to any lien or claim of the pledgee, 82344°— 38 3 for a sum in excess of the aggregate indebtedness of such customers in respect of such securities. (d) To lend or arrange for the lending of any securities carried for... | |
 | United States - 1953 - 1692 lapas
...customer, or (3) that will permit such securities to be hypothecated, or subjected to any lien or claim of without regard to the provisions of other laws applicable to the employment and in respect of such securities. (d) To lend or arrange for the lending of any securities carried for... | |
 | United States - 2000 - 1216 lapas
...customer, or (3) that will permit such securities to be hypothecated, or subjected to any lien or claim of the pledgee, for a sum In excess of the aggregate Indebtedness of such customers in respect of such securities. (b) To lend or arrange for the lending of any securities carried for... | |
 | United States - 1955 - 54 lapas
...customer, or (3) that will permit such securities to be hypothecated, or subjected to any lien or claim of the pledgee, for a sum in excess of the aggregate indebtedness of such customers in respect of such securities. (d) To lend or arrange for the lending of any securities carried for... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1959 - 2024 lapas
...customer, or (3) that will permit such securities to be hypothecated, or subjected to any lien or claim of the pledgee, for a sum in excess of the aggregate indebtedness of such customers in respect of such securities. (d) To lend or arrange for the lending of any M"'iirities carried for... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1963 - 490 lapas
...customer, or (3) that will permit such securities to be hypothecated, or subjected to any lien or claim of the pledgee, for a sum in excess of the aggregate indebtedness of such customers in respect of such securities. (d) To lend or arrange for the lending of any securities carried for... | |
 | United States COngress. House. Banking and Currency Committee - 1968 - 186 lapas
...customer, or (3) that will permit such securities to be hypothecated, or subjected to any lien or claim of the pledgee, for a sum in excess of the aggregate indebtedness of such customers in respect to such securities. (d) To lend or arrange for the lending of any securities carried for... | |
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... securities without his written consent with the securities of any other customer, (2) that will permit such securities to be commingled with the securities of any person other than a bona fide customer, or- (3) that will permit such securities to... 
