 Section 3(a)(2) of the act, or any savings and loan association or other institution as defined in Section 3(a)(5)(A) of the act whether acting in its individual or fiduciary capacity; any broker or dealer registered pursuant to Section 15 of the Securities...  Study of the Securities Industry: Hearings Before the Subcommittee on ... - 1942. lappuseautors: United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1971 - 4623 lapasPilnskats - Par šo grāmatu
 | United States. Securities and Exchange Commission - 1953 - 734 lapas
...protection of Investors . . . Eule X-17A-5 provides : (a) Reports to 1>e made annually. . . . every broker or dealer registered pursuant to section 15 of the Securities Exchange Act of 1934, as amended, shall file on form X-17A-5, during each calendar year commencing January 1, 1943, a report... | |
 | United States. Securities and Exchange Commission - 1970 - 166 lapas
...broker or dealer who transacts a business in securities through the medium of any such member, and every broker or dealer registered pursuant to section 15 of the Securities Exchange Act of 1984, as amended, shall make and keep current the following books and records relating to his business... | |
 | 1943 - 1346 lapas
...broker or dealer who transacts a business in securities through the medium of any such member, and every broker or dealer registered pursuant to section 15 of the Securities Exchange Act of 1934, as .114004 43 SUPP. IV BK. II-33 amended (sec. 15, 48 Stat. 895, sec. 3, 49 Stat. 1377,... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1942 - 264 lapas
...paragraph : "(c) This rule shall not be deemed to require a member of a national securities exchange, or a broker or dealer registered pursuant to Section 15 of the Securities Exchange Act of 1934, as amended, to make or keep such records as are required by Paragraph (a) reflecting the sale of United... | |
 | 1990 - 560 lapas
...specified in section 3(a)(5)(A) of the Act whether acting in its individual or fiduciary capacity; any broker or dealer registered pursuant to section 15 of the Securities Exchange Act of 1934; any plan established and maintained by a state, its political subdivisions, or any agency or instrumentality... | |
 | 1998 - 784 lapas
...specified in section 3(a)(5)(A) of the Act whether acting In its individual or fiduciary capacity; any broker or dealer registered pursuant to section 15 of the Securities Exchange Act of 1934; any plan established and maintained by a state, its political subdivisions, or any agency or instrumentality... | |
 | 1997 - 608 lapas
...exempt pool, is: (1) A futures commission merchant registered pursuant to section 4d of the Act; (2) A broker or dealer registered pur-suant to section 15 of the Securities Exchange Act of 1934; (3) A registered commodity pool operator who has been registered and active as such for two years or... | |
 | 1999 - 620 lapas
...exempt pool, is: (1) A futures commission merchant registered pursuant to section 4d of the Act; (2) A broker or dealer registered pursuant to section 15 of the Securities Exchange Act of 1934; (3) A registered commodity pool operator who has been registered and active as such for two years or... | |
 | 2000 - 622 lapas
...exempt pool, is: (7) A futures commission merchant registered pursuant to section 4d of the Act; (2) A broker or dealer registered pursuant to section 15 of the Securities Exchange Act of 1934; (3) A registered commodity pool operator who has been registered and active as such for two years or... | |
 | 1999 - 944 lapas
...broker or dealer who transacts a business in securities through the medium of any such member, and every broker or dealer registered pursuant to section 15 of the Securities Exchange Act of 1934, as amended, (48 Stat. 895, 49 Stat. 1377, 52 Stat. 1075; 15 USC 78o) shall make and keep current the... | |
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