Code of Federal Regulations: Title 17: Commodity and Securities ExchangesU.S. Government Printing Office, 2005 - 1082 páginas The Code of Federal Regulations is a codification of the general and permanent rules published in the Federal Register by the Executive departments and agencies of the United States Federal Government. |
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48 Stat affiliate alternative trading system amended amount applicable asset-backed securities associated person audit beneficial owner bidder broker or dealer broker-dealer business days capital certificate chapter class of securities clearing agency clude Commis Commission copy counterparty curities deemed defined director disclosure document effective equity securities exempt financial statements fiscal funds furnished graph information required investment bank holding investors issuer istered listed market maker market value material means ment municipal securities national securities exchange notice officer options OTC derivatives dealer penny stock percent period principal proxy statement purchase purposes pursuant to paragraph pursuant to section quired quotation record Regulation required by paragraph respect risk rity Rule Schedule Schedule 13D secu securities dealer security futures security holders sion solicitation specified suant subject company subordination agreement tender offer term thereof tion trading system trans transfer agent