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 45
Including Securities Act of 1933, Securities Exchange Act of 1934 ... United States. calculation of taxes owing to the United States and to the States by owners , buyers , and sellers of securities ... broker , registered broker or dealer ...
Including Securities Act of 1933, Securities Exchange Act of 1934 ... United States. calculation of taxes owing to the United States and to the States by owners , buyers , and sellers of securities ... broker , registered broker or dealer ...
Page 49
Including Securities Act of 1933, Securities Exchange Act of 1934 ... United States. trolled by , or under common control with such broker or deal or any employee of such broker or dealer , except that any p son associated with a broker ...
Including Securities Act of 1933, Securities Exchange Act of 1934 ... United States. trolled by , or under common control with such broker or deal or any employee of such broker or dealer , except that any p son associated with a broker ...
Page 52
... securities for its own ac- her than in a fiduciary capacity , through a broker wise ; Provided , however , That if the bank is en- n such business through a separately identifiable ent or division ( as defined by the Municipal Secu ...
... securities for its own ac- her than in a fiduciary capacity , through a broker wise ; Provided , however , That if the bank is en- n such business through a separately identifiable ent or division ( as defined by the Municipal Secu ...
Page 54
Including Securities Act of 1933, Securities Exchange Act of 1934 ... United ... securities ex- or registered securities association , member there- on ... broker or government es dealer : ( i ) the Comptroller of the Currency , in ...
Including Securities Act of 1933, Securities Exchange Act of 1934 ... United ... securities ex- or registered securities association , member there- on ... broker or government es dealer : ( i ) the Comptroller of the Currency , in ...
Page 56
Including Securities Act of 1933, Securities Exchange Act of 1934 ... United ... securities exchange , contract t designated pursuant to section 5 of the ... broker , aler , municipal securities dealer , government securi- es broker ...
Including Securities Act of 1933, Securities Exchange Act of 1934 ... United ... securities exchange , contract t designated pursuant to section 5 of the ... broker , aler , municipal securities dealer , government securi- es broker ...
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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