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
... participants or the use of che clearing agency by its participants , unless the by rule , otherwise provides as necessary or appro- sure the prompt and accurate clearance and settle- urities transactions or to prevent evasion of this ...
... participants or the use of che clearing agency by its participants , unless the by rule , otherwise provides as necessary or appro- sure the prompt and accurate clearance and settle- urities transactions or to prevent evasion of this ...
Page 51
... participant " when used with respect to 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 ...
... participant " when used with respect to 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 ...
Page 53
... 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 of the Currency , in the case a national bank or a bank ...
... 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 of the Currency , in the case a national bank or a bank ...
Page 62
... participants i grams may pay such See also Reorganization to this compilation . 2Authority to employ " wit dered ineffective by section note ) . 3Section 1106 ( a ) of the Cl erence is made in any other shall be held and considered 51 ...
... participants i grams may pay such See also Reorganization to this compilation . 2Authority to employ " wit dered ineffective by section note ) . 3Section 1106 ( a ) of the Cl erence is made in any other shall be held and considered 51 ...
Page 63
... participants in the Commission's professional fellows p grams may pay such participants their actual expenses for relo 1See also Reorganization Plan No. 10 of 1950 and Pub . L. 87-592 , printed in the apper to this compilation . 2 ...
... participants in the Commission's professional fellows p grams may pay such participants their actual expenses for relo 1See also Reorganization Plan No. 10 of 1950 and Pub . L. 87-592 , printed in the apper to this compilation . 2 ...
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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