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 33.
1081. lappuse
... INVESTMENT ADVISER . ( a ) A person may not transact business in this State as an investment adviser unless licensed as an investment adviser or exempt from licensing under this ( Act ) . ( b ) An investment adviser may not employ ...
... INVESTMENT ADVISER . ( a ) A person may not transact business in this State as an investment adviser unless licensed as an investment adviser or exempt from licensing under this ( Act ) . ( b ) An investment adviser may not employ ...
1082. lappuse
... investment adviser itself . However , the antifraud provision relating to investment adviser activities , Section 503 , does extend to such persons . SECTION 204. EXEMPT INVESTMENT ADVISERS . The following investment advisers are exempt ...
... investment adviser itself . However , the antifraud provision relating to investment adviser activities , Section 503 , does extend to such persons . SECTION 204. EXEMPT INVESTMENT ADVISERS . The following investment advisers are exempt ...
1094. lappuse
... investment adviser registered under the Investment Advisers Act of 1940 may take or retain custody of securities or funds of a client . ( b ) To the extent permitted by rule or order of the ( Administrator ) , an investment adviser ...
... investment adviser registered under the Investment Advisers Act of 1940 may take or retain custody of securities or funds of a client . ( b ) To the extent permitted by rule or order of the ( Administrator ) , an investment adviser ...
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