Compilation of Releases Dealing with Matters Arising Under the Securities Exchange Act of 1934 and Investment Advisers Act of 1940U.S. Government Printing Office, 1968 - 57 páginas |
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... Securities Exchange Act of 1934 8024 Section 15 ( c ) ( 3 ) ; Rule 15c3-1 . Net Capital requirement for Brokers and Dealers- 35 B. Releases under the Investment Advisers Act of 1940 SUBJECT INDEX Page Broker - Dealer , Registration of ...
... Securities Exchange Act of 1934 8024 Section 15 ( c ) ( 3 ) ; Rule 15c3-1 . Net Capital requirement for Brokers and Dealers- 35 B. Releases under the Investment Advisers Act of 1940 SUBJECT INDEX Page Broker - Dealer , Registration of ...
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United States. Securities and Exchange Commission. SUBJECT INDEX Page Broker - Dealer , Registration of Foreign .... Compensation to Broker - Dealer for Investment Advice .. Covering Purchases .. Consummation of Transaction , Prompt ...
United States. Securities and Exchange Commission. SUBJECT INDEX Page Broker - Dealer , Registration of Foreign .... Compensation to Broker - Dealer for Investment Advice .. Covering Purchases .. Consummation of Transaction , Prompt ...
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... brokers and dealers to borrow more on their customers ' securities than was owed them by the customers . Where the broker or dealer failed under such circumstances , the risk of loss to cus- tomers was substantially increased . To this ...
... brokers and dealers to borrow more on their customers ' securities than was owed them by the customers . Where the broker or dealer failed under such circumstances , the risk of loss to cus- tomers was substantially increased . To this ...
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... brokers or dealers must not commingle the securities of different customers as collateral for a loan without the consent of each customer . Second , a broker or dealer must not commingle his customers ' securities with his own under the ...
... brokers or dealers must not commingle the securities of different customers as collateral for a loan without the consent of each customer . Second , a broker or dealer must not commingle his customers ' securities with his own under the ...
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... broker " will be used to mean a member , broker or dealer . The rules contain three simple prohibitions which , generally speaking , coincide with the three clauses of Section 8 ( c ) of the Securities Exchange Act of 1934 . In effect ...
... broker " will be used to mean a member , broker or dealer . The rules contain three simple prohibitions which , generally speaking , coincide with the three clauses of Section 8 ( c ) of the Securities Exchange Act of 1934 . In effect ...
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Términos y frases comunes
1934 The Securities account of customers advice aggregate indebtedness amount anti-fraud provisions applicable assets balance bank beneficial owner beneficial ownership broker or dealer broker-dealer brokers and dealers buying certificate circumstances client collateral computing net capital day loan determining net capital disclosure distribution effect engaged Exchange Act Release Exchange Commission today excluded from aggregate exemption filed firm future commodity contracts haircut hedge clauses hypothecate Investment Advisers Act Investment Company investment contract investment counsel investor issuer liabilities lien manager market price market value ment mortgage mutual funds national securities exchange over-the-counter broker overriding commission paragraph percent person pledge proxy solicitation Public Utility Act purpose question rules Section 206 Securities Act Securities and Exchange securities carried Securities Exchange Act securities held selling group short position short sale short selling soliciting material subordination agreement supra syndicate tion transaction underwriting group unlawful violation vote York Stock Exchange
Pasajes populares
Página 53 - ... (2) to obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading, or (3) to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser.
Página 13 - ... (2) To effect, alone or with one or more other persons, a series of transactions in any security registered on a securities exchange creating actual or apparent active trading in such security or raising or depressing the price of such security, for the purpose of inducing the purchase or sale of such security by others.
Página 36 - ... who does not otherwise hold funds or securities for or owe money or securities to customers...
Página 11 - To effect, alone or with one or more other persons, a series of transactions in any security registered on a national securities exchange creating actual or apparent active trading in such security or raising or depressing the price of such security, for the purpose of inducing the purchase or sale of such security by others.
Página 35 - The weight to be given to actual cost, to historical cost, and to cost of reproduction new, is to be determined in the light of the facts of the particular case.
Página 2 - ... he owns a security convertible into or exchangeable for it and has tendered such security for conversion or exchange; or (4) he has an option to purchase or acquire it and has exercised such option; or (5) he has rights or warrants to subscribe to it and has exercised such rights or warrants: Provided, however, That a person shall be deemed to own securities only to the extent that he has a net long position in such securities.
Página 34 - ... ownership, if he can vest or revest title in himself at once, or at some future time [the 1935 opinion had added at this point, "without payment of other than a nominal consideration"].
Página 53 - ... any device, scheme, or artifice to defraud any client or prospective client; (2) to engage in any transaction, practice, or course of business which operates as a fraud or deceit upon any client or prospective client...
Página 2 - He is not deemed to own a security if he owns securities convertible into or exchangeable for it but has not tendered such securities for conversion or exchange, or if he has an option or owns rights or warrants entitling him to such security, but has not exercised them. Within the meaning of the rules a person "owns" securities only to the extent that he has a net long position in such securities..
Página 30 - ... the furnishing of a form of proxy or other communication to security holders under circumstances reasonably calculated to result in the procurement, withholding or revocation of a proxy.