Compilation of Securities Laws Within the Jurisdiction of the Committee on Energy and Commerce: Including Securities Act of 1933, Securities Exchange Act of 1934 ...U.S. Government Printing Office, 1989 |
Dentro del libro
Resultados 1-5 de 97
Página 5
... dealer " means any person who engages either for all or part of his time , directly or indirectly , as agent , broker , or principal , in the business of offering , buying , selling , or otherwise dealing or trading in securities issued ...
... dealer " means any person who engages either for all or part of his time , directly or indirectly , as agent , broker , or principal , in the business of offering , buying , selling , or otherwise dealing or trading in securities issued ...
Página 41
... broker or dealer with which such a natural person is as- sociated , ( iii ) any registered broker or dealer permitted to des- ignate as a representative such a natural person , and ( iv ) any other registered broker or dealer which ...
... broker or dealer with which such a natural person is as- sociated , ( iii ) any registered broker or dealer permitted to des- ignate as a representative such a natural person , and ( iv ) any other registered broker or dealer which ...
Página 42
... broker or dealer who agrees to be regulated by such association and with respect to whom the association undertakes ... broker " means any person engaged in the business of effecting transactions in securities for the account of others ...
... broker or dealer who agrees to be regulated by such association and with respect to whom the association undertakes ... broker " means any person engaged in the business of effecting transactions in securities for the account of others ...
Página 45
... broker or dealer " or " associated person of a broker or dealer " means any partner , officer , director , or branch manager of such broker or dealer ( or any person occupying a similar status or performing simi- lar functions ) , any ...
... broker or dealer " or " associated person of a broker or dealer " means any partner , officer , director , or branch manager of such broker or dealer ( or any person occupying a similar status or performing simi- lar functions ) , any ...
Página 46
... broker , dealer , association , or cooperative bank would be deemed to be a securities information processor solely ... broker , dealer , building and loan , savings and loan , or homestead association , or cooperative bank if such bank ...
... broker , dealer , association , or cooperative bank would be deemed to be a securities information processor solely ... broker , dealer , building and loan , savings and loan , or homestead association , or cooperative bank if such bank ...
Otras ediciones - Ver todas
Términos y frases comunes
amount application appropriate regulatory agency assets authority bank Board broker or dealer business development company centum certificate clearing agency Commis Commission Commodity Exchange Act contract corporation court curities debtor determine directly or indirectly directors effect employee exempt face-amount certificate company Federal Federal Reserve System filed government securities broker holding company indenture securities interstate commerce investment adviser issuer mails means or instrumentality ment municipal securities dealer national securities exchange necessary or appropriate officer outstanding paragraph participant payment person associated proceeding protection of investors provisions public interest purchase purposes pursuant to section reasonable registered investment company registration statement respect rules and regulations rules or regulations secu Securities Act securities issued security holders self-regulatory organization sion SIPC specified suant subparagraph subsection term tion transactions transfer agent trustee unit investment trust United States Code unlawful unless violation voting securities
Pasajes populares
Página 1 - ... security", or any certificate of interest or participation in, temporary or interim certificate for, receipt for, guarantee of, or warrant or right to subscribe to or purchase, any of the foregoing.
Página 392 - Treasury is authorized and directed to purchase any notes and other obligations issued hereunder and for that purpose he is authorized to use as a public debt transaction the proceeds from the sale of any securities issued under the Second Liberty Bond Act...
Página 13 - If either party shall apply to the court for leave to adduce additional evidence and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for...
Página 512 - Whoever, having devised or intending to devise any scheme or artifice to defraud, or for obtaining money or property by means of false or fraudulent pretenses, representations, or promises...
Página 452 - Every party shall have the right to present his case or defense by oral or documentary evidence, to submit rebuttal evidence, and to conduct such cross-examination as may be required for a full and true disclosure of the facts.
Página 519 - States, and such guaranty shall be expressed on the face thereof, and such bonds shall be lawful investments, and may be accepted as security for all fiduciary, trust, and public funds, the investment or deposit of which shall be under the authority or control of the United States or any officer or officers thereof.
Página 149 - Territory or other place subject to the jurisdiction of the United States, to enjoin such acts or practices, and upon a proper showing a permanent or temporary injunction or restraining order shall be; granted without bond.
Página 171 - Commission, there to produce records, if so ordered, or to give testimony touching the matter under investigation or in question; and any failure to obey such order of the court may be punished by such court as a contempt thereof. All process in any such case may be served in the judicial district whereof such person is an inhabitant or wherever he may be found.
Página 421 - Each agency, in accordance with published rules, shall make available for public inspection and copying — (A) final opinions, including concurring and dissenting opinions, as well as orders, made in the adjudication of cases; (B) those statements of policy and interpretations which have been adopted by the agency and are not published in the Federal Register...
Página 69 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails or of any facility of any national securities exchange...