Federal Securities Code: Tentative Draft, Թողարկում 1-3The Institute, 1972 |
From inside the book
Արդյունքներ 85–ի 1-ից 3-ը:
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Tentative Draft American Law Institute. Sec . 214. [ Broker . ] ( a ) [ General . ] “ Broker ” means a person engaged in the business of effecting transactions in securities for the account of others . ( b ) [ Insurance companies . ] " ...
Tentative Draft American Law Institute. Sec . 214. [ Broker . ] ( a ) [ General . ] “ Broker ” means a person engaged in the business of effecting transactions in securities for the account of others . ( b ) [ Insurance companies . ] " ...
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... broker or dealer or his agent in relation to the size of the account . SOURCE : Sec . Ex . Act Rule 15c1-7 ( a ) . COMMENT : The only existing reference to churning is in the source rule , which is limited to cases where the broker or ...
... broker or dealer or his agent in relation to the size of the account . SOURCE : Sec . Ex . Act Rule 15c1-7 ( a ) . COMMENT : The only existing reference to churning is in the source rule , which is limited to cases where the broker or ...
Էջ 168
... broker - dealers and 8 Canadian firms and 32 other foreign firms as investment advisers . And in February 1974 the ... broker who uses the telephone to service a customer who is vacationing in Florida . If 1 only Canadian brokers were ...
... broker - dealers and 8 Canadian firms and 32 other foreign firms as investment advisers . And in February 1974 the ... broker who uses the telephone to service a customer who is vacationing in Florida . If 1 only Canadian brokers were ...
Բովանդակություն
Reporters Introductory Memorandum | xiii |
270 | xix |
The American Law Institutes Federal Securities Code Project | xxix |
28 այլ բաժինները չեն ցուցադրվում
Common terms and phrases
1st sentence 2d Cir 2d sentence Act Rule action amendment American Law Institute apply bank blue sky laws broker or dealer broker-dealer buyer causation cert civil liability clause Code Code's codification Commis Commission Commission's concept convertible securities corporation court defendant defined definition deleted directors disclosure distribution statement draft effect exchange exemption extent Federal fraud holding company indenture investment adviser investment company investors issuer jurisdiction limited offering Loss measure of damages ment misrepresentation NASD offering statement one-year registrant pany pari delicto person plaintiff prospectus proxy purchase purposes pursuant reasonable reference registration statement rescission respect rule or order rule-making rulemaking authority scienter Securities Act security holders sell seller sion solicitation source provisions specified in section statutes substantially Supp tender request tion trading transactions Trust Ind underwriter Uniform Securities Act United unlawful violation