Securities Regulations for the District of ColumbiaU.S. Government Printing Office, 1962 - 59 páginas |
Dentro del libro
Resultados 1-5 de 7
Página 31
... investment adviser to enter into , extend , or renew any investment advisory contract unless it provides in writing- ( 1 ) that the investment adviser shall not be compensated on the basis of a share of capital gains upon or capital ...
... investment adviser to enter into , extend , or renew any investment advisory contract unless it provides in writing- ( 1 ) that the investment adviser shall not be compensated on the basis of a share of capital gains upon or capital ...
Página 32
... investment - adviser ; and in the case of an investment adviser , the qualifications and business history of any employee ; ( 4 ) any injunction or administrative order or conviction of a misde- meanor involving a security or any aspect ...
... investment - adviser ; and in the case of an investment adviser , the qualifications and business history of any employee ; ( 4 ) any injunction or administrative order or conviction of a misde- meanor involving a security or any aspect ...
Página 33
... investment adviser ; ( F ) is the subject of an order entered within the past five years by the securities administrator of any State , or by the Securities and Exchange Commission denying or revoking registration as a broker - dealer ...
... investment adviser ; ( F ) is the subject of an order entered within the past five years by the securities administrator of any State , or by the Securities and Exchange Commission denying or revoking registration as a broker - dealer ...
Página 34
... investment adviser in doing any of the acts which make him an investment adviser . ( c ) The Director may by order summarily postpone or suspend licensing pending final determination of any proceeding under this section . Upon the entry ...
... investment adviser in doing any of the acts which make him an investment adviser . ( c ) The Director may by order summarily postpone or suspend licensing pending final determination of any proceeding under this section . Upon the entry ...
Página 35
... Investment adviser ” means any person who , for compensation , engages in the business of advising others , either directly or through publications or writings , as to the value of securities or as to the advisability of investing in ...
... Investment adviser ” means any person who , for compensation , engages in the business of advising others , either directly or through publications or writings , as to the value of securities or as to the advisability of investing in ...
Términos y frases comunes
action administrator agent amendment American Diversified applicant for licensing Association of Securities authority better business bureau blue sky broker capital CARY certificates Chairman Commissioners committee complaints Congress Corporation Counsel customers Director District government District of Columbia draft effective enforcement evidence Exchange Act Exchange Commission experience Federal filed fraud fraudulent FULTON HASTINGS KEITH HEMPHILL instituted interest interstate commerce investigation investment adviser investment firms Investors Beware issued jurisdiction KEITH KNEIPP KORMAN legislation licensed broker-dealer licensing of broker-dealers LOOMIS MACK Maryland ment Miriam Ottenberg NASD National Association offer operate percent person present problem proceeding promoters provisions question recommendation regional office registration require respect revocation revoked salesmen section 15 Securities and Exchange securities business Securities Dealers securities regulation sell shares situation statement STUART LAW surety bond tion transaction Uniform Securities Act unlawful violation Virginia Washington D.C. Washington Star
Pasajes populares
Página 30 - To make any untrue statement of a material fact or to omit 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...
Página 37 - It shall be unlawful to make, or cause to be made, to any prospective purchaser any representation contrary to the foregoing provisions of this section.
Página 33 - ... or is the subject of an order of the Securities and Exchange Commission suspending or expelling him from a national securities exchange or national securities association registered under the Securities Exchange Act of 1934...
Página 38 - Commission, on the ground that the testimony or evidence, documentary or otherwise, required of him may tend to incriminate him or subject him to a penalty or forfeiture...
Página 56 - I commend the Securities and Exchange Commission and the National Association of Securities Dealers, Inc...
Página 35 - sell" includes every contract of sale of, contract to sell, or disposition of, a security or interest in a security for value. (2) "Offer" or "offer to sell" includes every attempt or offer to dispose of, or solicitation of an offer to buy, a security or interest in a security for value.
Página 34 - broker" means any person engaged in the business of effecting transactions in securities for the account of others, but does not include a bank. (5) The term "dealer...
Página 35 - Person" means an individual, a corporation, a partnership, an association, a joint stock company, a business trust, or any organized group of persons, whether incorporated or not, or any receiver or trustee. 22. "Premium...
Página 35 - Investment adviser" means any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities...
Página 36 - Any note, draft, bill of exchange or banker's acceptance which arises out of a current transaction or the proceeds of which have been or are to be used for current transactions...