United States Code ServiceLawyers Co-operative Publishing Company, 1983 |
도서 본문에서
88개의 결과 중 1 - 3개
144 페이지
... Release No. 12690 , SEC Docket Vol . 10 , No. 4 , August 18 , 1976 , p 175 . Managing partner of securities brokerage firm who , without customers ' knowledge or consent , pledged fully paid and excess margin securities as collateral ...
... Release No. 12690 , SEC Docket Vol . 10 , No. 4 , August 18 , 1976 , p 175 . Managing partner of securities brokerage firm who , without customers ' knowledge or consent , pledged fully paid and excess margin securities as collateral ...
192 페이지
... Release No. 11928 , SEC Docket Vol . 8 , No. 11 , December 30 , 1975 , p . 734 . Where member firm of registered securities association and its president and treasurer failed to comply with net capital requirements and to send required ...
... Release No. 11928 , SEC Docket Vol . 8 , No. 11 , December 30 , 1975 , p . 734 . Where member firm of registered securities association and its president and treasurer failed to comply with net capital requirements and to send required ...
199 페이지
... Release No. 11394 , Invest . Advisers Act of 1940 , Release No. 733 , Oct. 10 , 1980 , SEC Docket Vol 21 , No. 3 p 190 . 49. —Joined with bar from association Securities and Exchange Commission did not abuse its discretion in affirming ...
... Release No. 11394 , Invest . Advisers Act of 1940 , Release No. 733 , Oct. 10 , 1980 , SEC Docket Vol 21 , No. 3 p 190 . 49. —Joined with bar from association Securities and Exchange Commission did not abuse its discretion in affirming ...
자주 나오는 단어 및 구문
97 S Ct Act 15 USCS action alleged ALR Fed application broker or dealer broker-dealer Capital Rule CCH Fed Secur cert claim clearing agency Company Act 15 Corp corporation's customers debtor defendant directors district court equity Exchange Act 15 Exchange Commission F Supp Fed Secur L filing holders Holding Company Act injunction investment Investor Protection Act issuer jurisdiction liability merger misleading municipal securities dealer NASD necessary or appropriate offeror person plaintiff proceeding protection of investors proxy provisions proxy solicitation proxy statement public interest Public Utility Holding purchase pursuant rules and regulations SEC Docket Vol SEC Rule SEC Rule 10b-5 Secur L Rep Securities Act Securities and Exchange Securities Exchange Act Securities Investor Protection securities laws Serv 2d shareholders shares short-swing profits SIPC Stat stockholders subsection subsidiary target corporation tender offer tion title 15 USCS transactions trustee Utility Holding Company