laws relating to securities commission exchanges and holding companies1976 |
도서 본문에서
83개의 결과 중 1 - 3개
36 페이지
... public interest or for the protection of investors , ( 1 ) to regulate or prevent floor trading by members of national securities exchanges , directly or indirectly for their own account or for discretionary accounts , and ( 2 ) to ...
... public interest or for the protection of investors , ( 1 ) to regulate or prevent floor trading by members of national securities exchanges , directly or indirectly for their own account or for discretionary accounts , and ( 2 ) to ...
68 페이지
... public interest or for the protection of investors or consumers . A person shall be deemed to be registered upon receipt by the Commission of such notification of registration . ( b ) It shall be the duty of every registered holding ...
... public interest or for the protection of investors or consumers . A person shall be deemed to be registered upon receipt by the Commission of such notification of registration . ( b ) It shall be the duty of every registered holding ...
75 페이지
... public interest or for the protection of investors or consumers ; and ( 3 ) in the case of the acquisition of any other interest in any business , such information concerning such business and the inter- est to be acquired , and the ...
... public interest or for the protection of investors or consumers ; and ( 3 ) in the case of the acquisition of any other interest in any business , such information concerning such business and the inter- est to be acquired , and 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