Annual Report of the American Bar Association: Including Proceedings of the ... Annual Meeting, 115. sējums,2. izdevumsHeadquarters Office, 1995 |
No grāmatas satura
1.3. rezultāts no 43.
1079. lappuse
... broker - dealer or issuer engaged in offering securities in this State may not employ , directly or indirectly , a person to engage in any activity ... broker - dealer during any 12 consecutive months COMMISSIONERS ON UNIFORM STATE LAWS 1079.
... broker - dealer or issuer engaged in offering securities in this State may not employ , directly or indirectly , a person to engage in any activity ... broker - dealer during any 12 consecutive months COMMISSIONERS ON UNIFORM STATE LAWS 1079.
1080. lappuse
... broker - dealers , whether or not the offeror or an offeree is then present in this State ; and ( 2 ) other broker ... dealer who deals solely in government securities and is not registered under the Securities Exchange Act of 1934 unless the ...
... broker - dealers , whether or not the offeror or an offeree is then present in this State ; and ( 2 ) other broker ... dealer who deals solely in government securities and is not registered under the Securities Exchange Act of 1934 unless the ...
1085. lappuse
... broker - dealer or investment adviser , to enable the uninterrupted operation of the rescued firm . SECTION 208. LICENSING , GENERAL PROVISIONS . ( a ) Unless a proceeding under Section 212 is instituted or the applicant is notified ...
... broker - dealer or investment adviser , to enable the uninterrupted operation of the rescued firm . SECTION 208. LICENSING , GENERAL PROVISIONS . ( a ) Unless a proceeding under Section 212 is instituted or the applicant is notified ...
Saturs
Portrait of the President Frontispiece | 865 |
Business Law Section | 871 |
SECOND SESSION 10 | 919 |
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acceptance accounts receivable Administrator adopted agreement amendment American Bar Association amount applicable Article 4A assets beneficiary's bank bill broker-dealer bulk sale buyer CIBN claim claimants Clearing Organization Code conflict of laws Const contract price Convention court creditors Crim defendant Depository Institution detention hearing drawee effective endorsement entitled equipment Exchange execution exempt exporter federal felony filing foreign money funds transfer governed holder instrument intermediary bank investment adviser issued issuer jury leasing lessee lessor liability licensed ment National negotiable instrument notice obligation offer Official Text Originator's Bank paragraph party payable payment order person Prior Provision procedure proceeding protection pursuant receiving bank registration statement rule or order sales representative Section Securities Act security interest seller sender specified Stat statute subsection Supp supra note tion transaction UNIDROIT Uniform Commercial Code Uniform Securities Act United United States dollars violation