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 33.
46. lappuse
... transfer agent " means any person who en- gages on behalf of an issuer of securities or on behalf of itself as an issuer of securities in ( A ) countersigning such securities upon issuance ; ( B ) monitoring the issuance of such ...
... transfer agent " means any person who en- gages on behalf of an issuer of securities or on behalf of itself as an issuer of securities in ( A ) countersigning such securities upon issuance ; ( B ) monitoring the issuance of such ...
48. lappuse
... agency or transfer agent : ( i ) the Comptroller of the Currency , in the case of a national bank or a bank operating under the Code of Law for the District of Columbia , or a subsidiary of any such bank ; ( ii ) the Board of Governors ...
... agency or transfer agent : ( i ) the Comptroller of the Currency , in the case of a national bank or a bank operating under the Code of Law for the District of Columbia , or a subsidiary of any such bank ; ( ii ) the Board of Governors ...
55. lappuse
... transfer agent " and " associated person of a transfer agent " mean any person ( except an employee whose functions are solely clerical or min- isterial ) directly engaged in the management , direction , super- vision , or performance ...
... transfer agent " and " associated person of a transfer agent " mean any person ( except an employee whose functions are solely clerical or min- isterial ) directly engaged in the management , direction , super- vision , or performance ...
100. lappuse
... transfer agent , or entity or person required to be registered under the Com- modity Exchange Act ( 7 U.S.C. 1 et seq . ) ; ( iii ) involves the larceny , theft , robbery , extortion , for- gery , counterfeiting , fraudulent concealment ...
... transfer agent , or entity or person required to be registered under the Com- modity Exchange Act ( 7 U.S.C. 1 et seq . ) ; ( iii ) involves the larceny , theft , robbery , extortion , for- gery , counterfeiting , fraudulent concealment ...
128. lappuse
... agency , by rule , prescribes as necessary or appropriate for the safeguarding of securities and funds in the cus- tody or control of such clearing agency or for which it is responsi- ble . ( 3 ) Every registered transfer agent shall ...
... agency , by rule , prescribes as necessary or appropriate for the safeguarding of securities and funds in the cus- tody or control of such clearing agency or for which it is responsi- ble . ( 3 ) Every registered transfer agent shall ...
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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