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.
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 . ( 2 ) ...
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 . ( 2 ) ...
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
... securities exchange means ( i ) any natural person permit- ted to effect transactions on the floor of the exchange without the services of another person acting as broker , ( ii ) any regis- tered broker or dealer with which such a ...
... securities exchange means ( i ) any natural person permit- ted to effect transactions on the floor of the exchange without the services of another person acting as broker , ( ii ) any regis- tered broker or dealer with which such a ...
46. lappuse
... securities for the account of others , but does not include a bank . ( 5 ) The term " dealer " means any person engaged in the busi- ness of buying and selling securities for his own account , through a broker or otherwise , but does ...
... securities for the account of others , but does not include a bank . ( 5 ) The term " dealer " means any person engaged in the busi- ness of buying and selling securities for his own account , through a broker or otherwise , but does ...
49. lappuse
... securities exchange or of a telephone or other interstate means of communication , or ( B ) any other interstate instru- mentality . ( 18 ) The term " person associated with a broker or dealer " or " associated person of a broker or dealer ...
... securities exchange or of a telephone or other interstate means of communication , or ( B ) any other interstate instru- mentality . ( 18 ) The term " person associated with a broker or dealer " or " associated person of a broker or dealer ...
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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