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acceptance action addition agent agreed amended amount annuity appear application approved arrest Association authority bank believe bill Board broker-dealer building Chairman chanceries charge Chief citizens Code Commission Commissioners committee common condominium Congress contract course court crime criminal dealing defendant definition Department District of Columbia document draft effect enacted enforcement established evidence existing fact Federal filing give given going hearing House individual investment issued legislation license limited matter means ment notice officer otherwise party payment period permit person police possession present problem proposed protection purchaser question reasonable received record referred regulations relating Representatives residence respect rule security interest seller statement statute subsection thing tion transfer Uniform United unless variable annuities Washington WHITENER witness Zoning
Page 270 - ... by means of a prospectus or oral communication, which includes an untrue statement of a material fact or omits to state a material fact necessary in order to make the statements, in the light of the circumstances under which they were made, not misleading (the purchaser not knowing of such untruth or omission...
Page 263 - broker" means any person engaged in the business of effecting transactions in securities for the account of others, but does not include a bank. (5) The term "dealer...
Page 74 - ... (i) a statement of the amount of advances made and of liabilities incurred for which the warehouseman claims a lien, if the precise amount of such advances made or of such liabilities incurred is, at the time of the issue of the receipt, unknown to the warehouseman or to his agent who issues it, a statement of the fact that advances have been made or liabilities incurred and the purpose thereof is sufficient. A warehouseman shall be liable to any person injured thereby for all damage caused by...
Page 6 - A person is not responsible for criminal conduct if at the time of such conduct as a result of mental disease or defect...
Page 131 - ... attention if the organization had exercised due diligence. An organization exercises due diligence if it maintains reasonable routines for communicating significant information to the person conducting the transaction and there is reasonable compliance with the routines. Due diligence does not require an individual acting for the organization to communicate information unless such communication is part of his regular duties or unless he has reason to know of the transaction and that the transaction...
Page 53 - ... and (b) in any other case the obligation is suspended pro tanto until the instrument is due or if it is payable on demand until its presentment. If the instrument is dishonored action may be maintained on either the instrument or the obligation; discharge of the underlying obligor on the instrument also discharges him on the obligation.
Page 265 - Any security given or delivered with, or as a bonus on account of, any purchase of securities or any other thing, shall be conclusively presumed to constitute a part of the subject of such purchase and to have been sold for value.
Page 95 - ... to any transaction (regardless of its form) which is intended to create a security interest in personal property or fixtures including goods, documents, instruments, general intangibles, chattel paper, accounts or contract rights; and also b. to any sale of accounts, contract rights or chattel paper.