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 |
No grāmatas satura
1.–5. rezultāts no 88.
41. lappuse
... thereunder , and its own rules . For purposes of sections 6 ( b ) ( 1 ) , 6 ( b ) ( 4 ) , 6 ( b ) ( 6 ) , 6 ( b ) ( 7 ) , 6 ( d ) , 17 ( d ) , 19 ( d ) , 19 ( e ) , 19 ( g ) , 19 ( h ) , and 21 of this title , the term " member " when ...
... thereunder , and its own rules . For purposes of sections 6 ( b ) ( 1 ) , 6 ( b ) ( 4 ) , 6 ( b ) ( 6 ) , 6 ( b ) ( 7 ) , 6 ( d ) , 17 ( d ) , 19 ( d ) , 19 ( e ) , 19 ( g ) , 19 ( h ) , and 21 of this title , the term " member " when ...
58. lappuse
... thereunder , and the rules of the exchange . ( 2 ) Subject to the provisions of subsection ( c ) of this section , the rules of the exchange provide that any registered broker or dealer or natural person associated with a registered ...
... thereunder , and the rules of the exchange . ( 2 ) Subject to the provisions of subsection ( c ) of this section , the rules of the exchange provide that any registered broker or dealer or natural person associated with a registered ...
59. lappuse
... thereunder , or the rules of the exchange , by expulsion , suspension , limita- tion of activities , functions , and operations , fine , censure , being suspended or barred from being associated with a member , or any other fitting ...
... thereunder , or the rules of the exchange , by expulsion , suspension , limita- tion of activities , functions , and operations , fine , censure , being suspended or barred from being associated with a member , or any other fitting ...
61. lappuse
... thereunder , or the rules of the exchange which any such act or practice , or omission to act , is deemed to violate ; and ( C ) the sanction imposed and the reasons therefor . ( 2 ) In any proceeding by a national securities exchange ...
... thereunder , or the rules of the exchange which any such act or practice , or omission to act , is deemed to violate ; and ( C ) the sanction imposed and the reasons therefor . ( 2 ) In any proceeding by a national securities exchange ...
65. lappuse
... thereunder . This subsection and the rules and regulations thereunder shall not apply ( A ) to a loan made by a person not in the ordinary course of his business , ( B ) to a loan on an exempted security , ( C ) to a loan to a dealer to ...
... thereunder . This subsection and the rules and regulations thereunder shall not apply ( A ) to a loan made by a person not in the ordinary course of his business , ( B ) to a loan on an exempted security , ( C ) to a loan to a dealer to ...
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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