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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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Investigator's Guide to Information Sources

Lenny Seigel - 1991 - 95 lapas
...Corporate Families America's Corporate Families and International Affiliates Directory of Companies Filing Annual Reports With the Securities and Exchange Commission Under the Securities Exchange Act of 1934 Directory of Corporate Affiliations — Who Owns Whom Dun & Bradstreet's Middle Market Directory Dun...
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The Code of Federal Regulations of the United States of America

1976
...Securities Act registration statements and of other Coatmission announcements. Directory of Companies Flllne Annual Reports with the Securities and Exchange Commission under the Securities Exchange Act ol 1934. Published annually. Lists companies alphabetically and classified by Industry groups according...
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Short-selling Activity in the Stock Market: The Effects on Small ..., 4. sējums

United States. Congress. House. Committee on Government Operations. Commerce, Consumer, and Monetary Affairs Subcommittee - 1991 - 852 lapas
...account of any other person in reliance upon the exemption afforded by paragraph (0(5) of Rule 10a-l of the Securities and Exchange Commission under the Securities Exchange Act of 1934, as amended. New York Stock Exchange Guide Rule 440B U 2440B 433 12-ss Rules of Board— Miscellaneous...
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Investigators' Guide to Sources of Information

United States. General Accounting Office. Office of Special Investigations - 1992 - 85 lapas
...and industrial. GAO/OSI-92-1 Investigators' Guide to Sources of Inform* Directory of Companies Filing Annual Reports With the Securities and Exchange Commission Under the Securities Exchange Act of 1934 Published by the SEC and available from the Government Printing Office, this directory helps to determine...
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International Law Reports: Volume 90, 90. sējums

E. Lauterpacht, C. J. Greenwood - 1992 - 771 lapas
...Employment Act (ADEA), 29 USC §§209, 626(a) [29 USCS §§209, 626(a)]; 15 USC § 49 [15 USCS § 49], or to the Securities and Exchange Commission under the Securities Exchange Act of 1934, 15 USC § 78u(b) [15 USCS § 78u(b)], even though the former statute expressly applies abroad, 29 USC...
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Comprehensive Guide to Water and Wastewater Finance and Pricing

George A. Raftelis - 1992 - 336 lapas
...intended to constitute a final official statement within the meaning of Rule 15c2-12 promulgated by the Securities and Exchange Commission under the Securities Exchange Act of 1934 as amended. Certain information, noted below, has been obtained by the City aad the Commisiioo from...
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Proposed Mellon-Dreyfus Merger: Hearings Before the Subcommittee ..., 4. sējums

United States, United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations - 1994 - 972 lapas
...Dreyfus Service Corporation, will remain registered as a brokerdealer with and subject to regulation by the Securities and Exchange Commission under the Securities Exchange Act of 1934. These commitments were contemplated by the OCC Notice and will be added as specific provisions to the...
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Current Legal Issues Affecting Central Banks, Volume II.: Volume II.

Mr.Robert C. Effros - 1994 - 489 lapas
...National Housing Act (12 USC 1724(a))); (F) a thrift institution; (G) a broker or dealer registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934 (15 USC 78aetseq.); (H) a broker or dealer in securities or commodities; (I) an investment banker or...
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Subject Guide to U.S. Government Reference Sources

Gayle J. Hardy, Judith Schiek Robinson - 1996 - 358 lapas
...Criminal Justice Information Systems, 704 Directory of Biotechnology Information Resources (DBIR), 1100(n) Directory of Companies Required to File Annual Reports with the Securities and Exchange Commission . . ., 291 Directory of Computer Software, 812(n) Directory of Computerized Data Files, 81 l(n), 812(n)...
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RICO State by State: A Guide to Litigation Under the State Racketeering Statutes

John E. Floyd - 1998 - 999 lapas
...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 1 934 or with the Commissioner of Corporations under Part 3 (commencing with Section 25200) of Division...
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