United States Code ServiceLawyers Co-operative Publishing Company, 1983 |
도서 본문에서
94개의 결과 중 1 - 3개
156 페이지
... broker- dealer had net capital deficit within meaning of Rule . Re J. D. Creger & Co. ( 1959 ) 39 SEC 165 . Where broker - dealer reported that he had received securities of substantial value subject to subordination agreement , but ...
... broker- dealer had net capital deficit within meaning of Rule . Re J. D. Creger & Co. ( 1959 ) 39 SEC 165 . Where broker - dealer reported that he had received securities of substantial value subject to subordination agreement , but ...
157 페이지
... broker - dealer's repeated and contin- uous violation of Net Capital Rule , SEC prop- erly could find that revocation of broker - dealer's registration was in public interest ; existence of injunction issued by federal district court ...
... broker - dealer's repeated and contin- uous violation of Net Capital Rule , SEC prop- erly could find that revocation of broker - dealer's registration was in public interest ; existence of injunction issued by federal district court ...
160 페이지
... Securities & Exchange Com . v J. P. Howell & Co. ( 1962 , DC NJ ) 229 F Supp 699 , affd ( CA3 NJ ) 330 F2d 958 . Fact that broker - dealer and its officers have ceased their violations of securities laws and regulations issued pursuant ...
... Securities & Exchange Com . v J. P. Howell & Co. ( 1962 , DC NJ ) 229 F Supp 699 , affd ( CA3 NJ ) 330 F2d 958 . Fact that broker - dealer and its officers have ceased their violations of securities laws and regulations issued pursuant ...
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