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.
1081. lappuse
... licensed or not required to be licensed under this Act . See , for example , Section 402 ( 11 ) . This approach should minimize the potential for abuse which has occurred in the past with respect to unlicensed sales representatives ...
... licensed or not required to be licensed under this Act . See , for example , Section 402 ( 11 ) . This approach should minimize the potential for abuse which has occurred in the past with respect to unlicensed sales representatives ...
1088. lappuse
... LICENSING OF SUCCESSOR FIRMS . ( a ) A licensed broker - dealer or investment adviser may file an application for licensing of a successor , whether or not the successor is in existence , if the fee the ( Administrator ) prescribes for ...
... LICENSING OF SUCCESSOR FIRMS . ( a ) A licensed broker - dealer or investment adviser may file an application for licensing of a successor , whether or not the successor is in existence , if the fee the ( Administrator ) prescribes for ...
1092. lappuse
... licensed person , but an order may not be entered against a broker - dealer or investment adviser on the basis of the insolvency of a partner , officer , director , or controlling person . 9. Paragraph ( 11 ) : This paragraph continues ...
... licensed person , but an order may not be entered against a broker - dealer or investment adviser on the basis of the insolvency of a partner , officer , director , or controlling person . 9. Paragraph ( 11 ) : This paragraph continues ...
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