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 5
... individual , association , part- nership , corporation , or trust , within the scope of his employment or office , shall be deemed the act , omission , or failure of such individual , association , partnership , corporation , or trust ...
... individual , association , part- nership , corporation , or trust , within the scope of his employment or office , shall be deemed the act , omission , or failure of such individual , association , partnership , corporation , or trust ...
Página 6
... individuals , asso- ciations , partnerships , corporations , and trusts engaged in soliciting or in accepting orders for ... individual himself , or su partnership , corporation or associatio itself ; ( ii ) In the case of a partnership ...
... individuals , asso- ciations , partnerships , corporations , and trusts engaged in soliciting or in accepting orders for ... individual himself , or su partnership , corporation or associatio itself ; ( ii ) In the case of a partnership ...
Página 7
... individual , partnership , corporation or association whose duties include : ( A ) The management of the business of such individual , partnership , corpo- ration or association or any part there- of , ( B ) The handling of trades and ...
... individual , partnership , corporation or association whose duties include : ( A ) The management of the business of such individual , partnership , corpo- ration or association or any part there- of , ( B ) The handling of trades and ...
Página 8
... individual who is registered as broker or an associated person applied for registration as broker or an associated perso such application has not been drawn or denied . Any natural ( other than a floor broker or as ed person ) who ...
... individual who is registered as broker or an associated person applied for registration as broker or an associated perso such application has not been drawn or denied . Any natural ( other than a floor broker or as ed person ) who ...
Página 9
... individual who is registered as a floor broker or an associated person or has applied for registration as a floor broker or an associated person and such application has not been with- drawn or denied . Any natural person ( other than a ...
... individual who is registered as a floor broker or an associated person or has applied for registration as a floor broker or an associated person and such application has not been with- drawn or denied . Any natural person ( other than a ...
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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