도서 본문에서
73개의 결과 중 1 - 3개
150 페이지
Relation to NASD rules of fair practice payments were made for securities involved , and Broker - dealer's violation of Net Capital Rule president did not have necessary funds , transacalso constitutes violation of Article III ...
Relation to NASD rules of fair practice payments were made for securities involved , and Broker - dealer's violation of Net Capital Rule president did not have necessary funds , transacalso constitutes violation of Article III ...
151 페이지
never readily converted into cash within meaning of bookkeeper and cashier to enter stock on comNet Capital Rule . Securities & Exchange Com . V pany books , although such entry was C. H. Abraham & Co. ( 1960 , SD NY ) 186 F actually ...
never readily converted into cash within meaning of bookkeeper and cashier to enter stock on comNet Capital Rule . Securities & Exchange Com . V pany books , although such entry was C. H. Abraham & Co. ( 1960 , SD NY ) 186 F actually ...
153 페이지
Potential collateral Notes which are not readily convertible into Mere demonstration of potential use of securicash are not includable in net capital , under Net ties not readily convertible into cash as security Capital Rule ...
Potential collateral Notes which are not readily convertible into Mere demonstration of potential use of securicash are not includable in net capital , under Net ties not readily convertible into cash as security Capital Rule ...
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자주 나오는 단어 및 구문
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
도서 문헌정보
| 제목 | United states code service United states code service |
| 출판 | 1983 |
| 소장 | 캘리포니아 대학교 |
| 디지털화된 날짜: | 2007년 6월 15일 |
| 서지정보 내보내기 | BiBTeX EndNote RefMan |