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" ... checks, money orders, or similar instruments, any broker or dealer in securities registered or required to be registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934... "
H.R. 2575, the Secondary Mortgage Market Enterprises Regulatory Improvement ... - 168. lappuse
autors: United States. Congress. House. Committee on Financial Services - 2003 - 275 lapas
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Independent Offices Appropriation Bill for 1936: Hearing ... 74th Congress ...

United States. Congress. House. Appropriations - 1935 - 1456 lapas
...Commission for experienced attorneys in the trial of such cases. The broad scope of authority granted to the Securities and Exchange Commission under the Securities Exchange Act of 1934, and the great variety of activities to be investigated and regulated by this Commission, will require...
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Independent Offices Appropriation Bill for 1936: Hearings Before the ...

United States. Congress. House. Committee on Appropriations - 1935 - 1276 lapas
...Commission for experienced attorneys iri the trial of such cases. The broad scope of authority granted to the Securities and Exchange Commission under the Securities Exchange Act of 1934, and the great variety of activities to be investigated and regulated by this Commission, will require...
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To Amend the Securities Act of 1933: Solicitation of Proxies, Etc., in ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1937 - 580 lapas
...reorganization may be free of the desirable requirements for full and adequate disclosures. The power of the Securities and Exchange Commission under the Securities Exchange Act of 1934 over the solicitation of proxies, consents, and authorizations is applicable only to certain securities...
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To Amend the Securities Act of 1933. Solicitation of Proxies, Etc., in ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1937 - 580 lapas
...reorganization may be free of the desirable requirements for full and adequate disclosures. The power of the Securities and Exchange Commission under the Securities Exchange Act of 1934 over the solicitation of proxies, consents, and authorizations is applicable only to certain securities...
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General Rules and Regulations Under the Securities Exchange Act of 1934, as ...

United States. Securities and Exchange Commission - 1955 - 144 lapas
...Sterling 3-7600. ii PREFACE This compilation contains the General Rules and Regulations promulgated by the Securities and Exchange Commission under the Securities Exchange Act of 1934> Except for the rules under the caption "Rules of General Application," each rule relates to a particular...
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Domestic Commerce

United States. Bureau of Foreign and Domestic Commerce - 1941 - 624 lapas
...Department of Agriculture, Washington, DC OFFICIAL SUMMARY OF SECURITY TRANSACTIONS AND HOLDINGS REPORTED TO THE SECURITIES AND EXCHANGE COMMISSION UNDER THE SECURITIES EXCHANGE ACT OF 1934, THE PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 AND THE INVESTMENT COMPANY ACT OF 1940. Securities and...
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Reduction of Individual Income Taxes: Hearings Before the Committee on ...

United States. Congress. Senate. Committee on Finance - 1948 - 678 lapas
...concerned, the gambler is now of little or no significance. The regulation of the national exchanges by the Securities and -Exchange Commission under the Securities Exchange Act of 1934 is broad and comprehensive and has been supplemented by policies taken by the New York Stock Exchange...
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Code of Federal Regulations: Containing a Codification of Documents of ...

2002 - 1016 lapas
...is required to make, keep current or preserve pursuant to any provision of any rule or regulation of the Securities and Exchange Commission under the Securities Exchange Act of 1934, This undertaking shall be suspended during any period when the undersigned is making, keeping current,...
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The Code of Federal Regulations of the United States of America

1967 - 740 lapas
...is required to make, keep current or preserve pursuant to any provision of any rule or regulation of the Securities and Exchange Commission under the Securities Exchange Act of 1934. This undertaking shall be suspended during any period when the undersigned is making, keeping current,...
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Securities Markets Investigation: Hearings Before a Subcommittee of the ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1961 - 190 lapas
...listing its capital stock on a stock exchange in the United States and to file a registration statement with the Securities and Exchange Commission under the Securities Exchange Act of 1934. The company also stated to the court that it would add additional directors of responsibility and stature...
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