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 100
Page 17
... dealer , investment adviser , investm pany , municipal securities dealer , government s broker , government securities dealer , or transfer ager or was at the time of the alleged misconduct , an as person of , or a person seeking to ...
... dealer , investment adviser , investm pany , municipal securities dealer , government s broker , government securities dealer , or transfer ager or was at the time of the alleged misconduct , an as person of , or a person seeking to ...
Page 24
Including Securities Act of 1933, Securities Exchange Act of 1934 ... United ... securities by the use of any means or instru- nsportation or communication in ... dealer , without fully disclosing the ther past or prospective , of such ...
Including Securities Act of 1933, Securities Exchange Act of 1934 ... United ... securities by the use of any means or instru- nsportation or communication in ... dealer , without fully disclosing the ther past or prospective , of such ...
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 ... dealer with which such a natural is ...
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 ... dealer with which such a natural is ...
Page 46
Including Securities Act of 1933, Securities Exchange Act of 1934 ... United States. omply with such rules pursuant to section 6 ( f ) of term " member " when used with respect to a reg- ities association means any broker or dealer ...
Including Securities Act of 1933, Securities Exchange Act of 1934 ... United States. omply with such rules pursuant to section 6 ( f ) of term " member " when used with respect to a reg- ities association means any broker or dealer ...
Page 48
Including Securities Act of 1933, Securities Exchange Act of 1934 ... United States. nment securities shall not be ... dealer , stead associati dealer , associat a securities inf performed by s brokerage , dea or any commo munications ...
Including Securities Act of 1933, Securities Exchange Act of 1934 ... United States. nment securities shall not be ... dealer , stead associati dealer , associat a securities inf performed by s brokerage , dea or any commo munications ...
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