laws relating to securities commission exchanges and holding companies1976 |
도서 본문에서
80개의 결과 중 1 - 3개
405 페이지
... dealer which is a bank or a division or department of a bank from granting to any member of any registered securities association or any such municipal securities dealer any dealer's discount , allowance , com- mission , or special ...
... dealer which is a bank or a division or department of a bank from granting to any member of any registered securities association or any such municipal securities dealer any dealer's discount , allowance , com- mission , or special ...
408 페이지
... dealer , or municipal securities dealer or class of brokers , deal- ers , or municipal securities dealers from any provision of this section or the rules or regulations thereunder , if the Commission finds that such exemption is ...
... dealer , or municipal securities dealer or class of brokers , deal- ers , or municipal securities dealers from any provision of this section or the rules or regulations thereunder , if the Commission finds that such exemption is ...
412 페이지
... dealer shall be deemed to be ' depositors ' as that term is used in section 8 ( c ) of that Act . Nothing in this paragraph shall be construed to affect in any way the powers of such appropriate regulatory agency to proceed against such ...
... dealer shall be deemed to be ' depositors ' as that term is used in section 8 ( c ) of that Act . Nothing in this paragraph shall be construed to affect in any way the powers of such appropriate regulatory agency to proceed against such ...
목차
AN | 1 |
Examinations to determine whether stop order should issue | 7 |
9 Write or written__ | 9 |
표시되지 않은 섹션 69개
자주 나오는 단어 및 구문
affiliate application approval authority bank holding company broker or dealer centum Commission may prescribe contract corporation court creditors debtor debtor in possession deems necessary directly or indirectly directors District of Columbia electric energy face-amount certificate company filed indenture trustee instrumentality of interstate interstate commerce investment company investors or consumers issuer jurisdiction liability license mails means or instrumentality national securities exchange necessary or appropriate notice and opportunity obligor officer opportunity for hearing order thereunder otherwise outstanding pany paragraph payment person petition prescribe as necessary proceeding protection of investors public interest public utility public-utility company purchase purposes pursuant reasonable registered holding company registration statement regulation thereunder regulations or order respect rule or regulation rules and regulations Securities Act Securities Exchange Act security issued SIPC specified Stat stockholders suant subsection subsidiary company thereof tion transaction underwriter unit investment trust United unlawful violation