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, Market Reform Act of 1990 (section 8), Penny Stock Reform Act of 1990 (sections 504(b) and 510).U.S. Government Printing Office, 1991 - 623 lappuses |
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1.–5. rezultāts no 100.
16. lappuse
... broker , dealer , investment adviser , investment com- pany , municipal securities dealer , government securities broker , government securities dealer , or transfer agent , or is , or was at the time of the alleged misconduct , an ...
... broker , dealer , investment adviser , investment com- pany , municipal securities dealer , government securities broker , government securities dealer , or transfer agent , or is , or was at the time of the alleged misconduct , an ...
45. lappuse
... broker , ( ii ) any regis- tered 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 ...
... broker , ( ii ) any regis- tered 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 ...
46. lappuse
... broker or dealer who agrees to be regulated by such association and with respect to whom the association undertakes to enforce compliance with the provisions of this title , the rules and regulations thereun- der , and its own rules ...
... broker or dealer who agrees to be regulated by such association and with respect to whom the association undertakes to enforce compliance with the provisions of this title , the rules and regulations thereun- der , and its own rules ...
49. 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 ...
50. 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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action amount application appropriate regulatory agency assets authority bank Board broker or dealer broker or government business development company centum certificate clearing agency Commis Commission contract court curities debtor determine directly or indirectly directors effect employee exempt face-amount certificate company Federal Reserve System filed government securities broker government securities dealer holding company indenture securities interstate commerce investment adviser issuer means or instrumentality ment municipal securities dealer national securities exchange necessary or appropriate officer outstanding paragraph participant payment penny stock person associated proceeding protection of investors provisions public interest purchase purposes pursuant to section reasonable registered investment company registration statement respect rules and regulations rules or regulations secu Securities Act securities issued self-regulatory organization sion SIPC specified suant subparagraph subsection term thereof tion transactions transfer agent trustee unit investment trust United States Code unlawful unless violation