 | United States. Securities and Exchange Commission - 1962 - 1022 páginas
...26, 1959, registrant used the mails and instrumentalities of interstate commerce to induce and effect purchases and sales of securities, otherwise than on a national securities exchange, while its aggregate indebtedness exceeded 2,0009& of • Rule 17a-5 (17 CFR 240.17aG) pro-rides, with... | |
 | United States - 1994 - 1332 páginas
...purchase or sale of, any security (other than commercial paper, bankers' acceptances, or commercial bills) /& z { ˚ oz zZ X f = ܮ W ' { Z Iu{<{ & w i FL96 S by means of any manipulative, deceptive, or other fraudulent device or contrivance. (B) No municipal... | |
 | 1999 - 944 páginas
...required by section 15(b)(8) of the Act to become a member of a registered national securities association shall be exempt from such requirement if it: (1) Is...it is a member in an amount no greater than $1,000. (b) The gross income limitation contained in paragraph (a) of this section, shall not apply to income... | |
 | 1988 - 800 páginas
...required by section 15(b)(8) of the Act to become a member of a registered national securities association shall be exempt from such requirement if it: (1) Is...it is a member in an amount no greater than $1,000. (b) The gross income limitation contained in paragraph (a) of this section, shall not apply to income... | |
 | 1988 - 806 páginas
...required by section 15(b)(8) of the Act to become a member of a registered national securities association shall be exempt from such requirement if it: (1) Is...it is a member in an amount no greater than $1,000. (b) The gross income limitation contained in paragraph (a) of this section, shall not apply to income... | |
 | 2002 - 1016 páginas
...required by section 15(b)(8) of the Act to become a member of a registered national securities association shall be exempt from such requirement if it: (1) Is...which it is a member in an amount no greater than $1.000. (b) The gross income limitation contained in paragraph (a) of this section, shall not apply... | |
 | 1996 - 888 páginas
...required by section 15(b)(8) of the Act to become a member of a registered national securities association shall be exempt from such requirement if it: (1) Is...and sales of securities otherwise than on a national securii change of which it is a membe amount no greater than $1,000. (b) The gross income limitati... | |
 | 1977 - 958 páginas
...securities exchange shall be exempt from this rule If (1) he carries no accounts of customers, and (2) his annual gross income derived from purchases and sales...otherwise than on a national securities exchange of which he Is a member is in an amount no greater than $1,000: Provided, however, That gross income derived... | |
 | 1978 - 1252 páginas
...securities exchange shall be exempt from this rule if (1) he carries no accounts of customers, and (2) his annual gross income derived from purchases and sales...otherwise than on a national securities exchange of which he is a member is in an amount no greater than $1,000: Provided, however, That gross income derived... | |
 | 1978 - 1130 páginas
...shall be exempt from this rule if (1) he carries no accounts of customers, and (2) his annual groas income derived from purchases and sales of securities...otherwise than on a national securities exchange of which he is a member is in an amount no greater than $1,000, Provided however, That gross income derived... | |
| |
No broker or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce or attempt to induce the purchase or sale of, any security (other than commercial paper, bankers... 
