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section are subject at any time , or from time to time , to such reasonable periodic , special , or other examinations by representatives of the Commission and the appropriate regulatory agency for such persons as the Commission or the ...
section are subject at any time , or from time to time , to such reasonable periodic , special , or other examinations by representatives of the Commission and the appropriate regulatory agency for such persons as the Commission or the ...
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( G ) The rules of the clearing agency provide that ( subject to any rule or order of the Commission pursuant to section 17 ( d ) or 19 ( 8 ) ( 2 ) of this title [ 15 USCS $ 8 78q ( d ) , 783 ( g ) ( 2 ) ] ) its participants shall be ...
( G ) The rules of the clearing agency provide that ( subject to any rule or order of the Commission pursuant to section 17 ( d ) or 19 ( 8 ) ( 2 ) of this title [ 15 USCS $ 8 78q ( d ) , 783 ( g ) ( 2 ) ] ) its participants shall be ...
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( C ) A registered transfer agent may , upon such terms and conditions as the appropriate regulatory agency for such transfer agent deems necessary or appropriate in the public interest , for the protection of investors , or in ...
( C ) A registered transfer agent may , upon such terms and conditions as the appropriate regulatory agency for such transfer agent deems necessary or appropriate in the public interest , for the protection of investors , or in ...
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Act 15 USCS action affd agency alleged appears application appropriate approval association authority bank broker or dealer broker-dealer capital CCH Fed Secur cert claim Commission Corp corporation court customers defendant determine directors district effect enforcement Exchange Act 15 F Supp fact failed fair Fed Secur L federal filing finds firm grounds Holding Company Act injunction insider investment investors issued jurisdiction liability limited material means misleading necessary officer period person practice proceeding profits protection provisions proxy public interest Public Utility Holding purchase pursuant reasonable records referred registered relating Release respect rules rules and regulations Secur L Rep Securities Exchange Act shareholders shares SIPC solicitation statement stockholders subsection subsidiary tender offer tion Trade transactions transfer trustee United Utility Holding Company violation