Compilation of Securities Laws Within the Jurisdiction of the Committee on Commerce: Including Securities Act of 1933, Securities Exchange Act of 1934 ..., Volume 4 |
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Page 50
... clearing agency " means any person who ntermediary in making payments or deliveries or nection with transactions in securities or who pro- es for comparison of data respecting the terms of of securities transactions , to reduce the ...
... clearing agency " means any person who ntermediary in making payments or deliveries or nection with transactions in securities or who pro- es for comparison of data respecting the terms of of securities transactions , to reduce the ...
Page 51
... clearing agency means any person who uses a clearing agen to clear or settle securities transactions or to transfer , pledg lend , or hypothecate securities . Such term does not include person whose only use of a clearing agency is ( A ) ...
... clearing agency means any person who uses a clearing agen to clear or settle securities transactions or to transfer , pledg lend , or hypothecate securities . Such term does not include person whose only use of a clearing agency is ( A ) ...
Page 52
... agency " means— ( 26 U.S.C. 103 ( b ) . ) ( 26 U.S.C. 103 ( b ) ( 13 ) . ) System , Federal R or divisio ary of a h ... clearing age ( i ) t a nation of Law priate not the System eral Re subsidi of a ba a bank ary of a bank holding ...
... agency " means— ( 26 U.S.C. 103 ( b ) . ) ( 26 U.S.C. 103 ( b ) ( 13 ) . ) System , Federal R or divisio ary of a h ... clearing age ( i ) t a nation of Law priate not the System eral Re subsidi of a ba a bank ary of a bank holding ...
Page 53
... agencies and transfer agents . ( C ) When used with respect to a participant or app cant to become a participant in a clearing agency or a pe son requesting or having access to services offered by clearing agency : ( i ) the Comptroller ...
... agencies and transfer agents . ( C ) When used with respect to a participant or app cant to become a participant in a clearing agency or a pe son requesting or having access to services offered by clearing agency : ( i ) the Comptroller ...
Page 123
... clearing agency " , respectively . ( c ) ( 1 ) ( A ) No broker or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in , or to induce or attempt to induce the purchase or ...
... clearing agency " , respectively . ( c ) ( 1 ) ( A ) No broker or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in , or to induce or attempt to induce the purchase or ...
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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