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" Exchange ; any other security of the same issuer which is of senior or substantially equal rank; any security called for by subscription rights or warrants so listed or approved ; or any warrant or right to purchase or subscribe to... "
Study of the Securities Industry: Serial No. 92-37b - 1481. lappuse
autors: United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1971 - 4623 lapas
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Regulating the Sale of Securities: Hearing...88-1...May 2, 1963

United States. Congress. House. Committee on the District of Columbia - 1964 - 174 lapas
...any Canadian province ; (8) any security listed or approved for listing upon notice of issuance on the New York Stock Exchange, the American Stock Exchange, or the Midwest Stock Exchange [, or listed on the (insert names of appropriate regional stock exchanges)] ; any other security of...
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Hearings

United States. Congress. House. Committee on the District of Columbia - 1964 - 1598 lapas
...any Canadian province ; (8) any security listed or approved for listing upon notice of issuance on the New York Stock Exchange, the American Stock Exchange, or the Midwest Stock Exchange [, or listed on the (insert names of appropriate regional stock exchanges)] ; any other security of...
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Regulating the Sale of Securities: Hearing Before Subcommittee 2 of the ...

United States. Congress. House. Committee on the District of Columbia, United States. Congress. House. Committee on the District of Columbia. Subcommittee No. 2 - 1964 - 182 lapas
...any Canadian province ; (8) any security listed or approved for listing upon notice of issuance on the New York Stock Exchange, the American Stock Exchange, or the Midwest Stock Exchange [, or listed on the (insert names of appropriate regional stock exchanges)] ; any other security of...
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Study of the Securities Industry: Hearings Before the Subcommittee on ...

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1971 - 1626 lapas
...proceedings herein was issued, registrant willfully violated Section 17 (a) of the Exchange Act and Rule 17a-3 thereunder, in that it failed to accurately...transactions on behalf of its customers, as a result of which accounts of the customers and of registrant failed to reflect the true facts. In addition, registrant...
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