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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 - 432 lapas
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The Code of Federal Regulations of the United States of America

1970 - 662 lapas
...Securities Act registration statements and of other Commission announcements. Directory of Companies Filing Annual Reports With the Securities and Exchange Commission Under the Securities Exchange Act of 1934. Published annually. Lists companies alphabetically and classified by Industry groups according to the...
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Investigators' Guide to Sources of Information

1992 - 117 lapas
...events. Best's Rating Monitor charts rating changes on a similar schedule. 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 Million Dollar Directory Financial...
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The Code of Federal Regulations of the United States of America

1971 - 668 lapas
...Securities Act registration statements and of other Commission announcements. Directory of Companies Filing Annual Reports With the Securities and Exchange Commission Under the Securities Exchange Act of 1934. Published annually. Lists companies alphabetically and classified by Industry groups according to the...
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Final report regarding the findings of the study group on the feasibility of ...

191 lapas
...updated daily from numerous publicly available sources. SIC code classifications are taken from the SEC Directory of Companies Required to File Annual Reports with the Securities and Exchange Commission. When an issuer's primary SIC code is not reported in the SEC directory, the primary SIC code reported...
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Federal Information Sources and Systems

1980 - 1220 lapas
...privileges, issues, security status, and security description. Agency Contact: (202) 523-5550. 105300-012 Directory of Companies Required To File Annual Reports with the Securities and Exchange Commission (SEC). June 30, 1977; Varies OMB Funding Title/Code: Salaries and Expenses / 50-0100-0-1-376. Program:...
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Monthly Catalogue, United States Public Documents

630 lapas
...Commission; for sale by the Supt. of Docs., US Govt. Print. Off. 20402 v. 26 cm. $6.00 1976Spine title: Directory of companies required to file annual reports with the Securities and Exchange Commission Report covers fiscal year 1978. •Item 903-A S/N 046-000-001 19-2 ISSN 0149-6581 Continues: Directory...
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SEC Monthly Statistical Review, 35. sējums

United States. Securities and Exchange Commission - 1976 - 656 lapas
...MATTERS FREQUENTLY ARISING UNDER THE INVESTMENT COMPANY ACT OF 19AO .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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The Code of Federal Regulations of the United States of America

1999 - 1002 lapas
...be deposited into an investment account established through a securities broker or dealer registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934, or an investment account established through an investment company registered under the Investment...
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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 - 868 lapas
...account of any other person in reliance upon the exemption afforded by paragraph (e)(S) 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 H 2440B 432 12*5 Rules of Board— Miscellaneous...
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