laws relating to securities commission exchanges and holding companies1976 |
도서 본문에서
93개의 결과 중 1 - 3개
35 페이지
... directly or indirectly , any interest in any such put , call , straddle , option , or privilege ; or ( 3 ) any transaction in any security for the account of any person who he has reason to believe has , and who actually has , directly ...
... directly or indirectly , any interest in any such put , call , straddle , option , or privilege ; or ( 3 ) any transaction in any security for the account of any person who he has reason to believe has , and who actually has , directly ...
66 페이지
... directly or indirectly , any material part of its income from any one or more subsidiary companies , the principal business of which is that of a public - utility company , or ( B ) deriv- ing a material part of its income from any one ...
... directly or indirectly , any material part of its income from any one or more subsidiary companies , the principal business of which is that of a public - utility company , or ( B ) deriv- ing a material part of its income from any one ...
331 페이지
... indirectly owned or con- trolled by such bank holding company ; " ( 2 ) shares held or controlled directly or indirectly by trustees for the benefit of ( A ) a company , ( B ) the shareholders or mem- bers of a company , or ( C ) the ...
... indirectly owned or con- trolled by such bank holding company ; " ( 2 ) shares held or controlled directly or indirectly by trustees for the benefit of ( A ) a company , ( B ) the shareholders or mem- bers of a company , or ( C ) the ...
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