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 187
... equity require- ments in specialist or market maker accounts pursuant to Rule 15c3- 1 ( a ) ( 6 ) ( iii ) ( E ) ... equity requirements of Rule 15c3-1 ( d ) ( § 240.15c3-1 ( d ) of this chapter ) ; ( iv ) To approve a change in election of ...
... equity require- ments in specialist or market maker accounts pursuant to Rule 15c3- 1 ( a ) ( 6 ) ( iii ) ( E ) ... equity requirements of Rule 15c3-1 ( d ) ( § 240.15c3-1 ( d ) of this chapter ) ; ( iv ) To approve a change in election of ...
Página 212
... equity securities by offi- cers , directors and principal stock- holders of issuers having listed equity securities ; and changes in such ownership . Application for permission to 12 ( f ) extend unlisted trading privileges ...
... equity securities by offi- cers , directors and principal stock- holders of issuers having listed equity securities ; and changes in such ownership . Application for permission to 12 ( f ) extend unlisted trading privileges ...
Página 293
... equity method , and equity of such person in their net assets . 210.4-06 Intercompany items and transac- tions . 210.4-07 [ Reserved ] 210.4-08 Special requirements as to public utility holding companies . COMMERCIAL AND INDUSTRIAL ...
... equity method , and equity of such person in their net assets . 210.4-06 Intercompany items and transac- tions . 210.4-07 [ Reserved ] 210.4-08 Special requirements as to public utility holding companies . COMMERCIAL AND INDUSTRIAL ...
Página 294
... equity securities of the person and its affiliates . 210.12-04 Investments in , equity in earn- ings of , and dividends received from af- filiates and other persons . 210.12-05 Indebtedness of affiliates and other persons - not current ...
... equity securities of the person and its affiliates . 210.12-04 Investments in , equity in earn- ings of , and dividends received from af- filiates and other persons . 210.12-05 Indebtedness of affiliates and other persons - not current ...
Página 296
... Equity security . The term " equity security " means any stock or similar security ; or any security convertible , with or without consideration , into such a security , or carrying any war- rant or right to subscribe to or pur- chase ...
... Equity security . The term " equity security " means any stock or similar security ; or any security convertible , with or without consideration , into such a security , or carrying any war- rant or right to subscribe to or pur- chase ...
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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