도서 본문에서
82개의 결과 중 1 - 3개
186 페이지
amount invested , notwithstanding that customer It was violation of rules of fair practice of was asserted to be sophisticated and knowledga registered national association of securities dealble in securities matters ; under ...
amount invested , notwithstanding that customer It was violation of rules of fair practice of was asserted to be sophisticated and knowledga registered national association of securities dealble in securities matters ; under ...
190 페이지
Member brokerage firm of registered national Findings by National Association of Securities association of securities dealers violates associaDealers that brokerage firm and its former board tion's rules of fair practice where , inter ...
Member brokerage firm of registered national Findings by National Association of Securities association of securities dealers violates associaDealers that brokerage firm and its former board tion's rules of fair practice where , inter ...
193 페이지
734 . which had rule requiring member participating NASD's findings of violation of its rules of in public offering of securities which immediately fair practice by one of its members and firm's trade at premium in after market to make ...
734 . which had rule requiring member participating NASD's findings of violation of its rules of in public offering of securities which immediately fair practice by one of its members and firm's trade at premium in after market to make ...
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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 |