 | United States - 1968 - 374 páginas
...qualifying shares. DISTRIBUTION, REDEMPTION, AND REPURCHASE OF REDEEMABLE SECURITIES SEC. 22. (a) A securities association registered under section ISA of the Securities Exchange Act of 1934 may prescribe, by rules adopted and in effect in accordance with said section and subject to all provisions... | |
 | United States. Securities and Exchange Commission - 1955 - 1022 páginas
...showing that such employment was appropriate in the public interest. MEMORANDUM OPINION AND ORDER The National Association of Securities Dealers, Inc. (''NASD"),...national securities association registered under Section 15A of the Securities Exchange Act of 1934, has applied for our approval of the continuance in NASD... | |
 | United States. Securities and Exchange Commission - 1960 - 996 páginas
...the Division of Trading and Exchanges. Leonard H. Whitaker, pro se. FINDINGS, OPINION AND ORDER The National Association of Securities Dealers, Inc. ("NASD"),...national securities association registered under Section 15A of the Securities Exchange Act of 1934 ("Exchange Act"), has applied for our approval of its continuance... | |
 | United States. Securities and Exchange Commission - 1962 - 1022 páginas
...of Securities Dealers, Inc. ("NASD"), a national securities association registered under Section 15A of the Securities Exchange Act of 1934 ("Act"), has applied for our approval of the continuance of Carlson & Company in NASD membership while employing Giles E. MacQueen, Jr. as a... | |
 | United States. Securities and Exchange Commission - 1956 - 1172 páginas
...to Section 15A (/) (2) of the Exchange Act, to suspend or expel Moore & Company from membership in National Association of Securities Dealers, Inc. ("NASD"),...a national securities association registered under the Exchange Act. On January 10, 1951, we issued our Findings and Opinion in which we found that one... | |
 | United States. Securities and Exchange Commission - 1943 - 1160 páginas
...•The relevant provisions of Section 22 of the Investment Company Act are as follows: Sec. 22 (a) A securities association registered under Section ISA of the Securities Exchange Act of 1934 may prescribe, by rules adopted and in effect in accordance with said section and subject to all provisions... | |
 | United States. Securities and Exchange Commission - 1953 - 824 páginas
...Securities Dealers, Inc. Irving A. Greene, for Greene & Company. FINDINGS AND OPINION OF THE COMMISSION The National Association of Securities Dealers, Inc. ("NASD"), a national securities association registered pursuant to Section 15A of the Securities Exchange Act of 1934 ("the Act"), has applied for our approval... | |
 | United States. Securities and Exchange Commission - 1953 - 828 páginas
...approved upon showing that such employment was appropriate in the public interest. FINDINGS AND ORDER The National Association of Securities Dealers, Inc. ("NASD"), a national securities association registered pursuant to Section 15A of the Securities Exchange Act of 1934, has applied for our approval of its... | |
 | United States - 2000 - 1216 páginas
...under rules adopted pursuant to section 80a-22(b) of this title or section 80a-22(c) of this title by a securities association registered under section ISA of the Securities Exchange Act of 1934 [15 US С . 78o-3], or the Commission; (IV) the acquired company has a policy that prohibits it from... | |
 | 1998 - 832 páginas
...the Securities Exchange Act of 1934 (15 USC 78f); (il) An Interdealer quotation system sponsored by a national securities association registered under...section ISA of the Securities Exchange Act of 1934 (15 USC 780-3); or (ill) The International Stock Exchange of the United Kingdom and the Republic of... | |
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... of such an association — (1) a method or methods for computing the minimum price at which a member thereof may purchase from any investment company any... 
