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 56
... period not exceeding months , or revoking his registration as a broker , aler , municipal securities dealer , government securi- es broker , or government securities dealer or limiting s activities as a foreign person performing a ...
... period not exceeding months , or revoking his registration as a broker , aler , municipal securities dealer , government securi- es broker , or government securities dealer or limiting s activities as a foreign person performing a ...
Page 67
... period during which the of is outstanding . ( c ) ( 1 ) A national securities exchange shall deny membership ( A ) any person , other than a natural person , which is not ar istered broker or dealer or ( B ) any natural person who is ...
... period during which the of is outstanding . ( c ) ( 1 ) A national securities exchange shall deny membership ( A ) any person , other than a natural person , which is not ar istered broker or dealer or ( B ) any natural person who is ...
Page 73
... period any such member , broker , or dealer to maint a credit initially extended in conformity with the rules and ... periods , from the operation of this subsect and the rules and regulations thereunder . ( e ) The provisions of this ...
... period any such member , broker , or dealer to maint a credit initially extended in conformity with the rules and ... periods , from the operation of this subsect and the rules and regulations thereunder . ( e ) The provisions of this ...
Page 89
... period of time as the Commission may determine . A se rity registered with a national securities exchange may be wit drawn or stricken from listing and registration in accordance w the rules of the exchange and , upon such terms as the ...
... period of time as the Commission may determine . A se rity registered with a national securities exchange may be wit drawn or stricken from listing and registration in accordance w the rules of the exchange and , upon such terms as the ...
Page 96
... period not exceed- business days , and O summarily to suspend all trading on any national es exchange or otherwise , in securities other than ed securities , for a period not exceeding 90 calendar described in subparagraph ( B ) shall ...
... period not exceed- business days , and O summarily to suspend all trading on any national es exchange or otherwise , in securities other than ed securities , for a period not exceeding 90 calendar described in subparagraph ( B ) shall ...
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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