 Commission may, by such rules and regulations as it deems necessary or appropriate in the public interest, define and prescribe terms and conditions with respect to securities held in an investment account and transactions made in the ordinary course...  Investor Protection: Hearings Before a Subcommittee of the Committee on ... - 335. lappuseautors: United States. Congress. House. Committee on Interstate and Foreign Commerce, United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1964 - 1418 lapasPilnskats - Par šo grāmatu
 | United States. Securities and Exchange Commission - 1963 - 1134 lapas
...both retail and inter-dealer transactions in securities which are sold, or acquired and held for sale, in the ordinary course of business and incident to the establishment or maintenance of a market. The rule would require as a basis for exemption that the dealer maintain a continuous inter-dealer... | |
 | United States - 1964 - 356 lapas
...exchange exempted from registration under section 5 of this title) for such secu- 15 use 78e. rity. The Commission may, by such rules and regulations...or maintenance of a primary or secondary market." SEC. 9. Section 20 (c) of the Securities Exchange Act of 1934 is 15 use 78t. amended to read as follows... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1963 - 550 lapas
...course of his business and incident to the establishment or maintenance of a primary or secondary market for such security. The Commission may, by such rules...establishment or maintenance of a primary or secondary market. "[(<J)] (e) The provisions of this section shall not apply to foreign or domestic arbitrage transactions... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1963 - 716 lapas
...will be deemed to be held in an investment account and under which transactions will be considered made in the ordinary course of business and incident...establishment or maintenance of a primary or secondary market. It also has power to define each of these terms. The exemption is limited to transactions by dealers... | |
 | United States. Office of the Comptroller of the Currency - 1966 - 480 lapas
...maintenance by him of a primary or secondary market (otherwise than on a national securities exchange or an exchange exempted from registration under section...establishment or maintenance of a primary or secondary market. (e) The provisions of this section shall not apply to foreign or domestic arbitrage transactions unless... | |
 | Marc I. Steinberg - 1984 - 1220 lapas
...broker-dealers from the proscriptions of Section 16(b) if such short-swing transactions are within the ordinary course of business and incident to the establishment or maintenance by such broker-dealer of a primary or secondary market (otherwise than on a national securities exchange).... | |
 | United States, United States. Congress. House. Committee on Energy and Commerce - 1985 - 510 lapas
...maintenance by him of a primary or secondary market (otherwise than on a national securities exchange or an exchange exempted from registration under section...establishment or maintenance of a primary or secondary market. (e) The provisions of this section shall not apply to foreign or domestic arbitrage transactions unless... | |
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