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" It shall be unlawful for any member of a national securities exchange or any broker or dealer who transacts a business in securities through the medium of any such member, directly or indirectly to extend or maintain credit or arrange for the extension... "
Stock Exchange Practices: Hearings Before the Committee on Banking and ... - Page 6476
by United States. Congress. Senate. Committee on Banking and Currency - 1933
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Stock Exchange Regulation. Hearing ... on H.R. 8720 ... Feb. 14 - Mar. 24, 1934

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 984 pages
...securities through the medium of any such member, directly or indirectly, to extend or maintain credit or arrange for the extension or maintenance of credit to or for any customer without collateral or on any collateral other than exempted securities and/or securities registered...
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Stock Exchange Regulation: Hearing Before the Committee on Interstate and ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - Stock exchanges - 1934 - 1106 pages
...securities through the medium of any such member, directly or indirectly, to extend or maintain credit or arrange for the extension or maintenance of credit to or for any customer without collateral or on any collateral other than exempted securities and/or securities registered...
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General Rules and Regulations Under the Securities Exchange Act of 1934, as ...

United States. Securities and Exchange Commission - Securities - 1956 - 900 pages
...securities through the medium of any such member, directly or indirectly to extend or maintain credit or arrange for the extension or maintenance of credit to or for any customer — (1) On any security (other than an exempted security) registered on a national securities exchange,...
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Decisions and Reports, Volume 18

United States. Securities and Exchange Commission - Securities - 1950 - 948 pages
...securities through the medium of any such member, directly or indirectly to extend or maintain credit or arrange for the extension or maintenance of credit to or for any customer — (1) On any security (other than an exempted security) registered on a national securities exchange,...
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Securities Exchange Act of 1934: And Amendments Public--no. 291--73d ...

United States - Corporation law - 1938 - 48 pages
...securities through the medium of any such member, directly or indirectly to extend or maintain credit or arrange for the extension or maintenance of credit to or for any customer — (1) On any security (other than an exempted security) registered on a national securities exchange,...
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United States Code, Volume 2

United States - Law - 1953 - 1692 pages
...securities through the medium of any such member, directly or indirectly to extend or maintain credit or ything herein contained be construed to prohibit any common carrier subje — (1) On any security (other than an exempted security) registered on a national securities exchange,...
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United States Code, Volume 2

United States - Law - 2000 - 1216 pages
...securities exchange or any broker or dealer, directly or indirectly, to extend or maintain credit or arrange for the extension or maintenance of credit to or for any customer— "(1) on any security (other than an exempted security), in contravention of the rules and regulations...
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The Code of Federal Regulations of the United States of America

Administrative law - 1971 - 592 pages
...such mistake. § 220.7 Miscellaneous provisions. (a) Arranging for loans by others. A creditor may arrange for the extension or maintenance of credit to or for any customer of such creditor by any person upon the same terms and conditions as those upon which the creditor,...
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Code of Federal Regulations: Containing a Codification of Documents of ...

Administrative law - 2000 - 854 pages
...treated as if the security is a margin security. (g) Arranging for loans by others. A creditor may arrange for the extension or maintenance of credit to or for any customer by any person, provided the creditor does not willfully arrange credit that violates parts 221 or 224...
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Code of Federal Regulations: Containing a Codification of Documents of ...

Administrative law - 1988 - 1006 pages
...exception not applicable here, §220.7(a) of Regulation Т provides that: A creditor [broker or dealer] may arrange for the extension or maintenance of credit to or for any customer of such creditor by any person upon the same terms and conditionas those upon which the creditor, under...
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