United States Code ServiceLawyers Co-operative Publishing Company, 1983 |
도서 본문에서
81개의 결과 중 1 - 3개
263 페이지
... transfer agent , or registered municipal securities dealer for which it is not the appropriate regulatory agency , give notice to the appropriate regulatory agency for such clearing agency , transfer agent , or municipal securities ...
... transfer agent , or registered municipal securities dealer for which it is not the appropriate regulatory agency , give notice to the appropriate regulatory agency for such clearing agency , transfer agent , or municipal securities ...
276 페이지
... transfer agent may be registered by filing with the appropriate regulatory agency for such transfer agent an application for registration in such form and containing such information and documents concern- ing such transfer agent as ...
... transfer agent may be registered by filing with the appropriate regulatory agency for such transfer agent an application for registration in such form and containing such information and documents concern- ing such transfer agent as ...
277 페이지
... 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 furtherance of the purposes ...
... 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 furtherance of the purposes ...
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