 | United States. Securities and Exchange Commission - 1945 - 1290 էջ
...'Section 202 (a) (11) reads: "Investment adviser" means any person who, for compensation, engages in the business of advising others, either directly or...through publications or writings, as to the value of securities or as to the advisability of Investing in, purchasing, or selling securities, or who, for... | |
 | Philippines - 1988 - 484 էջ
...Broker and is engaged in soliciting or in accepting VOL. 84, NO. 27 orders for the purchase or sale of any commodity for future delivery on or subject to the rules of any contract market and that, in connection with such solicitation or acceptance of orders, accepts any money, securities... | |
 | United States. Supreme Court - 1984 - 1138 էջ
...trading which may be done or positions which may be held by any person under contracts of sale of such commodity for future delivery on or subject to the rules of any contract market as the commission finds are necessary to diminish, eliminate, or prevent such burden." *' § 5 of the... | |
 | United States - 1927 - 468 էջ
...the purchase or •ale of any commodity for future delivery, or involving any contracts of sale of any commodity for future delivery, on or subject to the rules of any contract market unless — (1) such person shall have registered, under this chapter, with the Secretary of Agriculture... | |
 | United States. Congress. House. Committee on Rules - 1931 - 934 էջ
...sale of any commodity for future delivery, or involving any contracts of sale or contracts to sell any commodity for future delivery, on or subject to the rules of any contract market unless — "(1) such person shall have been licensed by the Secretary of Agriculture as such futures... | |
 | United States. Congress. House. Committee on Agriculture - 1934 - 314 էջ
...for any person to make or enter into, or be a party to as principal or agent, any contract of sale of any commodity for future delivery on or subject to the rules of any contract market, unless — "(1) such contract shall be made prior to a date to be fixed by rule or regulation of the... | |
 | United States. Congress. House. Committee on Agriculture - 1935 - 138 էջ
...for any person to make or enter into, or be a party to as principal or agent, any contract of sale of any commodity for future delivery on or subject to the rules of any contract market, unless— "(1) such contract shall be made prior to a date to be fixed by rule or regulation of the... | |
 | United States. Congress. House. Committee on Agriculture - 1935 - 140 էջ
...persons similarly engaged, shall engage in executing for others any order for the purchase or sale of any commodity for future delivery on or subject to the rules of any contract market, and who for such services receives or accepts any commission or other compensation. The words ' the... | |
 | United States - 1936 - 684 էջ
...persons similarly engaged, shall engage in executing for others any order for the purchase or sale of any commodity for future delivery on or subject to the rules of any contract market, and who for such services receives or accepts any commission or other compensation. The words "the... | |
 | United States. Congress. Senate. Agriculture and Forestry Committee - 1936 - 324 էջ
...of any futures commission merchant who shall knowingly accept any order for the purchase or sale of any commodity for future delivery on or subject to the rules of any contract market from any person if such person has been denied trading privileges on any contract market by order of... | |
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Investment adviser" means any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling... 
