United States Code ServiceLawyers Co-operative Publishing Company, 1983 |
도서 본문에서
90개의 결과 중 1 - 3개
186 페이지
... practice by doing busi- ness without written procedures . Re Garrard , Securities Exchange Act of 1934 , Release No. 12219 , SEC Docket Vol 9 , No. 7 , April 20 , 1976 , p 368 . 8. Employing unregistered representatives Failure to ...
... practice by doing busi- ness without written procedures . Re Garrard , Securities Exchange Act of 1934 , Release No. 12219 , SEC Docket Vol 9 , No. 7 , April 20 , 1976 , p 368 . 8. Employing unregistered representatives Failure to ...
192 페이지
... practice by engaging in securities business at time when he could not possibly have known what his net capital position was because his books and re- cords were inaccurate and non - current and be- cause neither monthly trial balances ...
... practice by engaging in securities business at time when he could not possibly have known what his net capital position was because his books and re- cords were inaccurate and non - current and be- cause neither monthly trial balances ...
193 페이지
... practice by one of its members and firm's president are sustained , where member and its president failed to furnish NASD with requested information and records . Re Variable Investment Corporation , Securities Exchange Act of 1934 ...
... practice by one of its members and firm's president are sustained , where member and its president failed to furnish NASD with requested information and records . Re Variable Investment Corporation , Securities Exchange Act of 1934 ...
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