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. |
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Página 401
... brokers ' transac- tions ; ( 2 ) Makes no payment in connection with the execution of such brokers ' transactions to any person other than the broker ; and ( 3 ) Limits such brokers ' transactions to a sale or series of sales which , to ...
... brokers ' transac- tions ; ( 2 ) Makes no payment in connection with the execution of such brokers ' transactions to any person other than the broker ; and ( 3 ) Limits such brokers ' transactions to a sale or series of sales which , to ...
Página 428
... broker or dealer be- comes registered pursuant to section 15 of the Securities Exchange Act of 1934 and the rules and regulations thereunder and ending either when such registration is cancelled or re- voked , or when the Commission re ...
... broker or dealer be- comes registered pursuant to section 15 of the Securities Exchange Act of 1934 and the rules and regulations thereunder and ending either when such registration is cancelled or re- voked , or when the Commission re ...
Página 429
... broker or dealer be- comes registered pursuant to section 15 of the Securities Exchange Act of 1934 and the rules and regulations thereunder and ending either when such registration is cancelled or re- voked , or when the Commission re ...
... broker or dealer be- comes registered pursuant to section 15 of the Securities Exchange Act of 1934 and the rules and regulations thereunder and ending either when such registration is cancelled or re- voked , or when the Commission re ...
Página 507
... broker - dealer . This form shall be filed pursuant to Rule 172 ( § 230.172 of this chapter ) by each individual nonresident broker- dealer registered or applying for regis- tration . ( Same as § 249.507 of this chapter . ) § 239.508 ...
... broker - dealer . This form shall be filed pursuant to Rule 172 ( § 230.172 of this chapter ) by each individual nonresident broker- dealer registered or applying for regis- tration . ( Same as § 249.507 of this chapter . ) § 239.508 ...
Página 511
... BROKERS AND DEALERS 240.15b1-1 Application for registration of broker or dealer . 240.15b1-2 Statements to be filed with ap- plication for registration as a broker or dealer . 240.15b1-3 Registration of successor to reg- istered broker ...
... BROKERS AND DEALERS 240.15b1-1 Application for registration of broker or dealer . 240.15b1-2 Statements to be filed with ap- plication for registration as a broker or dealer . 240.15b1-3 Registration of successor to reg- istered broker ...
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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