Code of Federal Regulations: Containing a Codification of Documents of General Applicability and Future Effect as of December 31, 1948, with Ancillaries and IndexDivision of the Federal Register, the National Archives, 1998 Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries. |
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Página 10
... securities dealers . 240.15B c7-1 Availability of examination reports . REGISTRATION OF GOVERNMENT SECURITIES BROKERS AND GOVERNMENT SECURITIES DEALERS 240.15C al - 1 Notice of Government securi- ties broker - dealer activities . 240.15 ...
... securities dealers . 240.15B c7-1 Availability of examination reports . REGISTRATION OF GOVERNMENT SECURITIES BROKERS AND GOVERNMENT SECURITIES DEALERS 240.15C al - 1 Notice of Government securi- ties broker - dealer activities . 240.15 ...
Página 11
... broker - dealer trading systems . 240.17a - 24 Reports of lost securityholders . 240.17d - 1 Examination for compliance with applicable financial responsibility rules . 240.17d - 2 Program for allocation of regu- latory responsibility ...
... broker - dealer trading systems . 240.17a - 24 Reports of lost securityholders . 240.17d - 1 Examination for compliance with applicable financial responsibility rules . 240.17d - 2 Program for allocation of regu- latory responsibility ...
Página 16
... broker - dealers . Any provision of any rule or regula- tion under the Act which prohibits any act , practice , or ... dealer registered pursuant to section 15 ( b ) of the Act , or any person acting on behalf of such a broker or dealer ...
... broker - dealers . Any provision of any rule or regula- tion under the Act which prohibits any act , practice , or ... dealer registered pursuant to section 15 ( b ) of the Act , or any person acting on behalf of such a broker or dealer ...
Página 25
... securities broker or government securities dealer solely be- cause such futures commission mer- chant effects transactions in govern- ment securities that are defined in paragraph ( b ) of this section as inciden- tal to such person's ...
... securities broker or government securities dealer solely be- cause such futures commission mer- chant effects transactions in govern- ment securities that are defined in paragraph ( b ) of this section as inciden- tal to such person's ...
Página 26
... securities dealer solely because such person ef- fects transactions for its own account in government securities that are de- fined in paragraph ( b ) of this section as incidental to such person's futures - re- lated business . ( b ) ...
... securities dealer solely because such person ef- fects transactions for its own account in government securities that are de- fined in paragraph ( b ) of this section as incidental to such person's futures - re- lated business . ( b ) ...
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Términos y frases comunes
48 Stat affiliate amended amount application assets bank beneficial owner bidder broker or dealer broker-dealer business days chapter class of securities clude Commis Commission Company Act contract copies curities deemed directors disclosure document effective equity securities exempt Federal filed pursuant financial statements fiscal funds furnished graph holding company investment company issued issuer istered Item market maker market value material means ment municipal securities national securities exchange option pany payment penny stock percent period principal proxy statement purchase purposes pursuant to paragraph pursuant to Rule pursuant to section quired quotation record registration statement repurchase agreement respect rities Schedule Schedule 13D secu Securities Act securities dealer securities ex Securities Exchange Act security holders separate account sion solicitation specified suant subject company subordination agreement subsidiary tender offer term thereof thereunder tion trading trans transaction trust underwriter voting