Compilation of Securities Laws Within the Jurisdiction of the Committee on Energy and Commerce: Including Securities Act of 1933, Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, Trust Indenture Act of 1939, Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970, 4. sējumsU.S. Government Printing Office, 1988 - 542 lappuses |
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1.5. rezultāts no 98.
5. lappuse
... trade or com- merce in securities or any transportation or communication re ... dealer not in excess of the usual and customary distributors ' or sellers ... broker , or principal , in the business of offering , buying , selling , or ...
... trade or com- merce in securities or any transportation or communication re ... dealer not in excess of the usual and customary distributors ' or sellers ... broker , or principal , in the business of offering , buying , selling , or ...
40. lappuse
... broker or dealer with which such a natural person is as- sociated , ( iii ) any registered broker or dealer permitted to des- ignate as a representative such a natural person , and ( iv ) any other registered broker or dealer which ...
... broker or dealer with which such a natural person is as- sociated , ( iii ) any registered broker or dealer permitted to des- ignate as a representative such a natural person , and ( iv ) any other registered broker or dealer which ...
41. lappuse
... broker or dealer which agrees to be regulated by such exchange and with respect to which the exchange un- dertakes to enforce compliance with the provisions of this title , the rules and regulations thereunder , and its own rules . For ...
... broker or dealer which agrees to be regulated by such exchange and with respect to which the exchange un- dertakes to enforce compliance with the provisions of this title , the rules and regulations thereunder , and its own rules . For ...
44. lappuse
... broker or dealer " or " associated person of a broker or dealer " means any partner , officer , director , or branch manager of such broker or dealer ( or any person occupying a similar status or performing simi- lar functions ) , any ...
... broker or dealer " or " associated person of a broker or dealer " means any partner , officer , director , or branch manager of such broker or dealer ( or any person occupying a similar status or performing simi- lar functions ) , any ...
45. lappuse
... broker , dealer , association , or cooperative bank would be deemed to be a securities information processor solely ... broker , dealer , building and loan , savings and loan , or homestead association , or cooperative bank if such bank ...
... broker , dealer , association , or cooperative bank would be deemed to be a securities information processor solely ... broker , dealer , building and loan , savings and loan , or homestead association , or cooperative bank if such bank ...
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amount application appropriate regulatory agency assets bank Board broker or dealer broker or government business development company centum clearing agency Commis Commission Commodity Exchange Act contract corporation court curities debtor determine directly or indirectly directors effect employee face-amount certificate company Federal Reserve System filed government securities broker government securities dealer holding company indenture securities interstate commerce investment adviser issuer loan mails means or instrumentality ment municipal securities dealer national securities exchange necessary or appropriate officer otherwise paragraph participant payment person associated proceeding protection of investors provisions public interest purchase purposes pursuant to section reasonable registered investment company registration statement respect rule or regulation rules and regulations secu Securities Act securities issued security holders self-regulatory organization sion SIPC specified subparagraph subsection term tion transactions transfer agent trustee unit investment trust United States Code unlawful voting securities