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 100.
5. lappuse
... dealer " means any person who engages either for all or part of his time , directly or indirectly , as agent , broker , or principal , in the business of offering , buying , selling , or otherwise dealing or trading in securities issued ...
... dealer " means any person who engages either for all or part of his time , directly or indirectly , as agent , broker , or principal , in the business of offering , buying , selling , or otherwise dealing or trading in securities issued ...
10. lappuse
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 ... dealer ( including an ...
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 ... dealer ( including an ...
22. lappuse
... investment service , or communication which , though not purporting to offer a security for sale , describes such security for a consideration received or to be received , directly or indirectly , from an issuer , underwriter , or dealer ...
... investment service , or communication which , though not purporting to offer a security for sale , describes such security for a consideration received or to be received , directly or indirectly , from an issuer , underwriter , or dealer ...
40. lappuse
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 ... dealer with which such ...
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 ... dealer with which such ...
41. lappuse
... Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970 United States. other registered broker or dealer which agrees to be regulated by such exchange and with respect to which the ...
... Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970 United States. other registered broker or dealer which agrees to be regulated by such exchange and with respect to which the ...
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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