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 59.
1081. lappuse
... investment adviser unless licensed as an investment adviser or exempt from licensing under this ( Act ) . ( b ) An investment adviser may not employ , directly or indirectly , a person to engage in any activity in this State contrary to ...
... investment adviser unless licensed as an investment adviser or exempt from licensing under this ( Act ) . ( b ) An investment adviser may not employ , directly or indirectly , a person to engage in any activity in this State contrary to ...
1082. lappuse
... investment adviser may request a waiver of the prohibition for good cause shown . 3. Licensing of employees or representatives of an investment adviser has not been required . The Committee concluded that such separate licensing was not ...
... investment adviser may request a waiver of the prohibition for good cause shown . 3. Licensing of employees or representatives of an investment adviser has not been required . The Committee concluded that such separate licensing was not ...
1115. lappuse
... investment company or unit investment trust under Section 8 of the Investment Company Act of 1940 if : ( i ) the issuer is advised by an investment adviser that is a depository institution exempt from registration under the Investment ...
... investment company or unit investment trust under Section 8 of the Investment Company Act of 1940 if : ( i ) the issuer is advised by an investment adviser that is a depository institution exempt from registration under the Investment ...
Saturs
Portrait of the President Frontispiece | 865 |
Business Law Section | 871 |
SECOND SESSION 10 | 919 |
Autortiesības | |
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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