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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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Directory of Companies Required to File Annual Reports with the Securities ...

...Printtof Office, Washington. DC 20402 INTRODUCTION This report makes available a listing of 10,717 companies required to file annual reports with the Securities and Exchange Commission according to currently available information. The companies are presented alphabetically and by industry...
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Accounting and Auditing Practices and Procedures: Hearings Before the ...

United States. Congress. Senate. Committee on Governmental Affairs. Subcommittee on Reports, Accounting, and Management - 1977 - 2176 lapas
...offering. Furthermore if a company's financial statements (which are required to be filed annually with the Securities and Exchange Commission under the Securities Exchange Act of 19341 are materially false or misleading, Section 18 of that Act, 15 USC 5 7Mr, provides that persons...
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Determination of Undisclosed Financial Interest

Richard A. Nossen - 1979 - 26 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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United States Reports: Cases Adjudged in the Supreme Court at ..., 426. sējums

United States. Supreme Court, John Chandler Bancroft Davis, Henry Putzel, Henry C. Lind, Frank D. Wagner - 1975
...Alex Elson* MR. JUSTICE MARSHALL delivered the opinion of the Court. The proxy rules promulgated by the Securities and Exchange Commission under the Securities Exchange Act of 1934 bar the use of proxy statements that are false or misleading with respect to the presentation or omission...
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Employee Stock Ownership Plans and General Stock Ownership Trusts: Hearings ...

United States. Congress. Senate. Committee on Finance - 1978 - 542 lapas
...participants only when the employer is a publicly-traded company (generally, a company which is reporting to the Securities and Exchange Commission under the Securities Exchange Act of 1934). This approach was first suggested in the staff report of the Joint Economic Committee on ESOPs which...
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Statistical Bulletin - Securities and Exchange ..., 39. sējums;1980. sējums

United States. Securities and Exchange Commission - 1980
...523-5360 or Eileen Whelan, (202) 272-2850, for copies of the above publications. OTHER PUBLICATIONS 1 . Directory of Companies Required to File Annual Reports...Commission, Under the Securities Exchange Act of 1934. 2. SEC Annual Report. 3. SEC Docket. A weekly compilation of the full text of SEC releases under various...
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Statistical Bulletin - Securities and Exchange ..., 35. sējums;1976. sējums

United States. Securities and Exchange Commission - 1976
...MATTERS FREQUENTLY ARISING UNDER THE INVESTMENT COMPANY ACT OF 19ЛО .55 DIRECTORY OF COMPANIES FILING ANNUAL REPORTS WITH THE SECURITIES AND EXCHANGE COMMISSION UNDER THE SECURITIES EXCHANGE ACT OF 193A. .Published annually. Lists companies alphabetically and classified by industry groups according...
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Oversight Hearing on the Bank Secrecy Act: Hearing Before the Subcommittee ...

United States. Congress. House. Committee on Banking, Finance, and Urban Affairs. Subcommittee on General Oversight and Renegotiation - 1981 - 85 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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Compilation of Intelligence Laws and Related Laws and Executive Orders of ...

United States - 2003
...regulations in the Federal ( Register before January 1, 2002, requiring brokers and dealers registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934 to submit suspicious activity reports under section 5318(g) of title 31, United States Code. Such regulations...
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Federal Information Sources and Systems

1976
...Transactions and Holdings. Exchange Statistical Bulletin Series System (STB). Directory of Companies Filing Annual Reports with the Securities and Exchange Commission, under the Securities Exchange Act of 1934. Securities Traded on Exchanges System (STK). Holders Official Summary of Security Transactions and...
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