Code of Federal Regulations: Containing a Codification of Documents of General Applicability and Future Effect as of December 31, 1948, with Ancillaries and IndexDivision of the Federal Register, the National Archives, 1978 Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
Dentro del libro
Resultados 1-5 de 100
Página 14
... securities exchange or re- lated clearing organization , a national secu- rities association , The United States Securi- ties and Exchange Commission , the securi- ties commission or equivalent authority of any State for the regulation ...
... securities exchange or re- lated clearing organization , a national secu- rities association , The United States Securi- ties and Exchange Commission , the securi- ties commission or equivalent authority of any State for the regulation ...
Página 167
... SECURITIES AND EXCHANGE COMMISSION Part 200 Page Organization ; conduct and ethics ; and informa- tion and requests . 169 201 Rules of practice ............ 261 202 203 Informal and other procedures .. Rules relating to investigations ...
... SECURITIES AND EXCHANGE COMMISSION Part 200 Page Organization ; conduct and ethics ; and informa- tion and requests . 169 201 Rules of practice ............ 261 202 203 Informal and other procedures .. Rules relating to investigations ...
Página 171
... Securities and Exchange Com- mission was created in 1934 under the Securities Exchange Act . That Act transferred to the Commission the ad- ministration of the Securities Act of 1933 , formerly administered by the Federal Trade ...
... Securities and Exchange Com- mission was created in 1934 under the Securities Exchange Act . That Act transferred to the Commission the ad- ministration of the Securities Act of 1933 , formerly administered by the Federal Trade ...
Página 177
... Securities Rulemaking Board , brokers , and dealers , municipal securities dealers , and transfer agents , the conduct of statistical functions under the Securities Exchange Act of 1934 , and the investigations and in- spections arising ...
... Securities Rulemaking Board , brokers , and dealers , municipal securities dealers , and transfer agents , the conduct of statistical functions under the Securities Exchange Act of 1934 , and the investigations and in- spections arising ...
Página 184
... Securities Exchange Act of 1934 ( 15 U.S.C. 78a , et seq . ) : ( 1 ) To determine to be effective ap- plications for registration of securities on a national securities exchange prior to 30 days after receipt of a certifica- tion ...
... Securities Exchange Act of 1934 ( 15 U.S.C. 78a , et seq . ) : ( 1 ) To determine to be effective ap- plications for registration of securities on a national securities exchange prior to 30 days after receipt of a certifica- tion ...
Otras ediciones - Ver todas
Términos y frases comunes
48 Stat Administrative Law Judge affiliates aggregate amended amount application appropriate assets authority balance sheet broker or dealer caption certificate chapter cluding Column Commis Commission's commodity Commodity Exchange Act contract market copies corporation curities deemed Director disclosure dividends documents effective date employee erwise exemption fees filed financial statements funds furnished futures commission merchant included income statement initial decision interest investment adviser issue issuer matter ment mission national securities exchange notice notification offering sheet option otherwise paragraph party percent period person prior proceeding prospectus purchase purposes pursuant to section quired record regis registration statement Regulation relating request respect rities schedule secu Securities Act Securities Exchange Act service of process shares sion specified suant Subpart subpoena subsidiaries term thereof thereto tion trading transactions trust underwriter unless