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Página 1
... broker - dealer who represents a broker - dealer or issuer in effecting or attempting to effect purchases or sales of securities . " Agent " does not include any individual who represents an issuer in ( 1 ) effecting transactions in an ...
... broker - dealer who represents a broker - dealer or issuer in effecting or attempting to effect purchases or sales of securities . " Agent " does not include any individual who represents an issuer in ( 1 ) effecting transactions in an ...
Página 2
... broker - dealer , whether the purchaser is acting for itself or in some fiduciary capacity : ( 5 ) any transaction ... securities , nontransferable warrants , or transferable war- rants , exercisable within not more than ninety days of ...
... broker - dealer , whether the purchaser is acting for itself or in some fiduciary capacity : ( 5 ) any transaction ... securities , nontransferable warrants , or transferable war- rants , exercisable within not more than ninety days of ...
Página 4
... broker - dealer or agent unless he is effectively licensed under this Act . ( b ) It shall be unlawful for any broker - dealer or issuer to employ an agent unless the agent is effectively licensed under this Act . The license of an ...
... broker - dealer or agent unless he is effectively licensed under this Act . ( b ) It shall be unlawful for any broker - dealer or issuer to employ an agent unless the agent is effectively licensed under this Act . The license of an ...
Página 5
... broker - dealer shall be deemed to constitute a license of any agent who is a partner , officer , or director , or a person occupying a similar status or performing similar functions . ( b ) An applicant for an initial or renewal ...
... broker - dealer shall be deemed to constitute a license of any agent who is a partner , officer , or director , or a person occupying a similar status or performing similar functions . ( b ) An applicant for an initial or renewal ...
Página 6
... broker - dealer , any partner , officer , or director , any person occupying a similar status or performing similar functions , or any person directly or indirectly controlling the broker - dealer- ( 1 ) has filed an application for a ...
... broker - dealer , any partner , officer , or director , any person occupying a similar status or performing similar functions , or any person directly or indirectly controlling the broker - dealer- ( 1 ) has filed an application for a ...
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Términos y frases comunes
ABERNETHY ACHESON amended American Law Institute application arrest bank Bar Association bill bill of lading Board broker-dealer BRYAN buyer Chairman chanceries Chief MURRAY citizens collateral Columbia Code Commission Commissioners committee condominium confession Congress contract coowners court crime criminal D.C. Code dealers debtor defendant delivery District of Columbia document draft Durham rule effect enacted enforcement Federal filing firearms hearing holder HUDDLESTON indorsement instrument insurance companies interrogation investment issued issuer legislation license lien Mallory rule MCMILLAN McNabb ment MULTER officer otherwise owner payable payment permit person pistol police present problem proposed purchaser pursuant reasonable record regulations residence residential SCHWENGEL secured party security interest seller SITNICK SPRINGER statement statute subcommittee Sullivan law surety bond tion TOBRINER transfer U.S. attorney Uniform Act Uniform Commercial Code United unless variable annuities violation Washington weapons WHITENER witness Zoning
Pasajes populares
Página 268 - 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 265 - 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 76 - ... (i) a statement of the amount of advances made and of liabilities incurred for which the warehouseman claims a lien, if the precise amount of such advances made or of such liabilities incurred is, at the time of the issue of the receipt, unknown to the warehouseman or to his agent who issues it, a statement of the fact that advances have been made or liabilities incurred and the purpose thereof is sufficient. A warehouseman shall be liable to any person injured thereby for all damage caused by...
Página 8 - A person is not responsible for criminal conduct if at the time of such conduct as a result of mental disease or defect...
Página 133 - ... attention if the organization had exercised due diligence. An organization exercises due diligence if it maintains reasonable routines for communicating significant information to the person conducting the transaction and there is reasonable compliance with the routines. Due diligence does not require an individual acting for the organization to communicate information unless such communication is part of his regular duties or unless he has reason to know of the transaction and that the transaction...
Página 55 - ... and (b) in any other case the obligation is suspended pro tanto until the instrument is due or if it is payable on demand until its presentment. If the instrument is dishonored action may be maintained on either the instrument or the obligation; discharge of the underlying obligor on the instrument also discharges him on the obligation.
Página 267 - Any security given or delivered with, or as a bonus on account of, any purchase of securities or any other thing, shall be conclusively presumed to constitute a part of the subject of such purchase and to have been sold for value.
Página 97 - ... to any transaction (regardless of its form) which is intended to create a security interest in personal property or fixtures including goods, documents, instruments, general intangibles, chattel paper, accounts or contract rights; and also b. to any sale of accounts, contract rights or chattel paper.