...futures commission merchant pursuant to sections 4f(a)(l) or 4f(a)(2) of the Commodity Exchange Act and registered or required to be registered with the Securities and Exchange Commission as a broker or dealer pursuant to sections 15(b)(l) or 15(b)(ll) of the Securities Exchange Act of 1934...

...futures commission merchant pursuant to sections 4f(a)(1) or 4f(a)(2) of the Commodity Exchange Act and registered or required to be registered with the Securities and Exchange Commission as a broker or dealer pursuant to sections 15(b)(l) or 15(b)(1l) of the Securities Exchange Act of 1934...

...provide for payment to an account. (f) Broker or dealer in securities. A broker or dealer in securities, registered or required to be registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934. (g) Common carrier. Any person engaged in the business of...

...United States of a foreign bank. Broker or dealer in securities. A broker or dealer in securities, registered or required to be registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934. Currency. The coin and currency of the United States or...

...no-sales-charge basis, are registered under the Securities Act of 1933 and the fund is registered with the Commission as an investment company under the Investment Company Act of 1940. As I have indicated, there is pending an appeal by the National Association of Securities Dealers from...

...no-sales-charge basis, are registered under the Securities Act of 1933, and the fund is registered with the Commission as an investment company under the Investment Company Act of 1940. An appeal by the National Association of Securities Dealers from that decision was initially dismissed...

...no-sales-charge basis, are registered under the Securities Act of 1933, and the fund is registered with the Commission as an investment company under the Investment Company Act of 1940. An appeal by the National Association of Securities Dealers from that decision was initially dismissed...

...of & Dealers (NASD), whose members sell shares in open and closed-end mutual funds. The Account was registered with the Securities and Exchange Commission...investment company under the Investment Company Act of 1!HO. 1"> USC g SOa-1, and approved by the Comptroller of the Currency as a buna fide fiduciary activity...

...Reliance Common Stock if the effect of such acquisition would be to subject the Company to regulation as an investment company under the Investment Company Act of 1940. THE EXCHANGE OFFEB Exchange terms The Company hereby offers, to the holders of Reliance Common Stock, to...

...Reliance Common Stock If the effect of such acquisition would be to subject the Company to regulation as an investment company under the Investment Company Act of 1940. THE EXCHANGE OFFER Exchange term» The Company hereby offers, to the holders of Reliance Common Stock,...