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" ... checks, money orders, or similar instruments, any broker or dealer in securities registered or required to be registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934... "
The Market Approach to Valuing Businesses - 313. lappuse
autors: Shannon P. Pratt - 2006 - 400 lapas
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Regulation of Clearing Agencies and Transfer Agents, Hearings Before the ...

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs - 1973 - 524 lapas
...membership are listed on a registered national stock exchange or otherwise come within the purview of the Securities and Exchange Commission under the Securities Exchange Act of 1934. In substantially all the corporations represented in the Society the issuance and transfer of corporate...
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Hearings, Reports and Prints of the Senate Committee on Appropriations

United States. Congress. Senate. Committee on Appropriations - 1974
...Corporation as of March 10, 1972. as disclosed in the Company's proxy statement dated March 17, 1972, filed with the Securities and Exchange Commission under the Securities Exchange Act of 1934, was 22,358,946. Information with respect to the beneficial owners of 1 percent or more of the Company's...
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Privacy: The Collection, Use, and Computerization of Personal Data ..., 2. daļa

United States. Congress. Senate. Committee on Government Operations. Ad Hoc Subcommittee on Privacy and Information Systems - 1974 - 2335 lapas
...association, credit union, industrial bank, or other thrift institution; (7) a broker or dealer registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934; 48 stat. eel. 8T a broker or dealer in securities or commodities; 15 usc 78a. 9) an investment banker...
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Disclosure of Corporate Ownership

United States. Congress. Senate. Committee on Government Operations. Subcommittee on Intergovernmental Relations - 1973 - 419 lapas
...Corporation as of March 10, 1972. as disclosed in the Company's proxy statement dated March 17, 1972, filed with the Securities and Exchange Commission under the Securities Exchange Act of 1934, was 22,358,946. Information with respect to the beneficial owners of 1 percent or more of the Company's...
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United States Congressional Serial Set, 13059. sējums

1975
...annual reports to stockholders and, if they were public corporations, with their annual reports to the Securities and Exchange Commission under the Securities Exchange Act of 1934. income per return (including a reconciliation of book depreciation and depletion with tax depreciation...
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Oversight Hearings Into the Operations of the IRS: (administration of Bank ...

United States. Congress. House. Committee on Government Operations. Commerce, Consumer, and Monetary Affairs Subcommittee - 1976 - 338 lapas
...listed below! (1) a bank; (2) a broker or dealer In securities, registered or required to be registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934; (3) a person who engages as a business In dealing In or exchanging currency as, for example, a dealer...
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Bankruptcy Act Revision: Hearings Before the Subcommittee on Civil and ...

United States. Congress. House. Committee on the Judiciary. Subcommittee on Civil and Constitutional Rights - 1976 - 2779 lapas
...regulatory and selfregulatory structure in the securities industry. Most broker-dealers which are registered with the Securities and Exchange. Commission under the Securities Exchange Act of 1934 are required to be members of SIPC, and accordingly pay assessments to the SIPC fund. It is important...
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Surveillance: Hearings Before the Subcommittee on Courts, Civil Liberties ...

United States. Congress. House. Committee on the Judiciary. Subcommittee on Courts, Civil Liberties, and the Administration of Justice - 1975 - 1379 lapas
...listed below: (1) a bank; (2) a broker or dealer in securities, registered or required to be registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934; (3) a person who engages as a business in dealing in or exchanging currency as, for example, a dealer...
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Municipal Securities Full Disclosure Act of 1976: Hearings Before the ...

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities - 1976 - 527 lapas
...involved. Consequently, disclosures substantially similar to those prescribed by Form 10-k promulgated by the Securities and Exchange Commission under the Securities Exchange Act of 1934 should be considered regarding the private entity in such cases. Where additional security is provided...
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Financial Institutions and the Nation's Economy: FINE ..., 1-2. grāmata

1976
...regulations are requirements for public disclosure of vital business information such as that required by the Securities and Exchange Commission under the Securities Exchange Act of 1934 and by this Office under Part 11 of our regulations. Availability of this information serves as an...
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