laws relating to securities commission exchanges and holding companies1976 |
도서 본문에서
68개의 결과 중 1 - 3개
124 페이지
... trading in unlisted securities upon national securities exchanges , for the registration of over - the - counter ... trading privileges to which a security had been admitted on such exchange prior to March 1 , 1934 ; or ( 2 ) may extend ...
... trading in unlisted securities upon national securities exchanges , for the registration of over - the - counter ... trading privileges to which a security had been admitted on such exchange prior to March 1 , 1934 ; or ( 2 ) may extend ...
125 페이지
... trading privileges . In the publication or making available for publication by any national securities exchange , or by any person directly or indirectly controlled by such exchange , of quotations or transactions in securities made or ...
... trading privileges . In the publication or making available for publication by any national securities exchange , or by any person directly or indirectly controlled by such exchange , of quotations or transactions in securities made or ...
310 페이지
... trading privileges to any security duly listed and registered on any other national securities exchange . If an extension of unlisted trading privileges to a security was originally based upon its listing and registration on another ...
... trading privileges to any security duly listed and registered on any other national securities exchange . If an extension of unlisted trading privileges to a security was originally based upon its listing and registration on another ...
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