Compilation of Securities Laws Within the Jurisdiction of the Committee on Commerce: Including Securities Act of 1933, Securities Exchange Act of 1934 ..., Volume 4 |
From inside the book
Results 1-5 of 59
Page 472
... SIPC may determine to be necessary or appropriate for the purpose of making assessments under section 4. The examining authority or collection agent shall file with SIPC all or such part of such information (and such compilations and ...
... SIPC may determine to be necessary or appropriate for the purpose of making assessments under section 4. The examining authority or collection agent shall file with SIPC all or such part of such information (and such compilations and ...
Page 445
... SIPC advances . Sec . 10. Direct payment procedure . Sec . 11. SEC functions . Sec . 12. Examining authority ... SIPC " ) . SIPC shall be a nonprofit corporation and shall have succession until dissolved by Act of the Congress . SIPC ...
... SIPC advances . Sec . 10. Direct payment procedure . Sec . 11. SEC functions . Sec . 12. Examining authority ... SIPC " ) . SIPC shall be a nonprofit corporation and shall have succession until dissolved by Act of the Congress . SIPC ...
Page 446
... SIPC . - SIPC shall be a membership corporation the members of which shall be all persons reg- istered as brokers or dealers under section 15 ( b ) of the 1934 Act , other than- ( i ) persons whose principal business , in the deter ...
... SIPC . - SIPC shall be a membership corporation the members of which shall be all persons reg- istered as brokers or dealers under section 15 ( b ) of the 1934 Act , other than- ( i ) persons whose principal business , in the deter ...
Page 447
... SIPC by this Act ; and ( 9 ) by bylaw , to establish its fiscal year . ( c ) BOARD OF DIRECTORS.- ( 1 ) FUNCTIONS . SIPC shall have a Board of Directors which , subject to the provisions of this Act , shall determine the policies which ...
... SIPC by this Act ; and ( 9 ) by bylaw , to establish its fiscal year . ( c ) BOARD OF DIRECTORS.- ( 1 ) FUNCTIONS . SIPC shall have a Board of Directors which , subject to the provisions of this Act , shall determine the policies which ...
Page 448
... SIPC . ( d ) MEETINGS OF BOARD . - The Board of Directors shall meet at the call of its Chairman , or as otherwise provided by the bylaws of SIPC . ( e ) BYLAWS AND RULES.— ( 1 ) PROPOSED BYLAW CHANGES . - The Board of Directors of SIPC ...
... SIPC . ( d ) MEETINGS OF BOARD . - The Board of Directors shall meet at the call of its Chairman , or as otherwise provided by the bylaws of SIPC . ( e ) BYLAWS AND RULES.— ( 1 ) PROPOSED BYLAW CHANGES . - The Board of Directors of SIPC ...
Other editions - View all
Common terms and phrases
action amount application appropriate regulatory agency assets authority bank Board broker or dealer broker or government business development company centum certificate clearing agency Commis Commission contract court curities debtor deemed determines director effect employee enforcement exempt face-amount certificate company Federal Reserve System filed foreign government securities broker government securities dealer holding company indenture securities investment adviser issuer istered jurisdiction limited partnership ment municipal securities dealer national securities exchange necessary or appropriate officer otherwise paragraph participant payment penalty penny stocks person associated proceeding protection of investors provisions public interest purchase purposes pursuant to section reasonable registered investment company registration statement regulations thereunder request respect rities rule or regulation rules and regulations secu Securities Act self-regulatory organization sion SIPC specified spect subparagraph subsection term thereof tion transaction transfer agent trustee underwriter unit investment trust United States Code unlawful violation