Compilation of Securities Laws Within the Jurisdiction of the Committee on Energy and Commerce: Including Securities Act of 1933, Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, Trust Indenture Act of 1939, Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970, Volum 4U.S. Government Printing Office, 1988 - 542 sider |
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Side 369
... SIPC advances . Sec . 10. Direct payment procedure . Sec . 11. SEC functions . Sec . 12. Examining authority ... SIPC " ) . SIPC shall be a nonprofit corporation and shall have succession until dis- solved by Act of the Congress . SIPC ...
... SIPC advances . Sec . 10. Direct payment procedure . Sec . 11. SEC functions . Sec . 12. Examining authority ... SIPC " ) . SIPC shall be a nonprofit corporation and shall have succession until dis- solved by Act of the Congress . SIPC ...
Side 370
... SIPC . - SIPC shall be a membership cor- poration the members of which shall be all persons regis- tered as brokers or dealers under section 15 ( b ) of the 1934 Act , other than- ( i ) persons whose principal business , in the determi ...
... SIPC . - SIPC shall be a membership cor- poration the members of which shall be all persons regis- tered as brokers or dealers under section 15 ( b ) of the 1934 Act , other than- ( i ) persons whose principal business , in the determi ...
Side 371
... SIPC by this Act ; and ( 9 ) by bylaw , to establish its fiscal year . ( c ) BOARD OF DIRECTORS . ( 1 ) FUNCTIONS . - SIPC shall have a Board of Directors which , subject to the provisions of this Act , shall determine the poli- cies ...
... SIPC by this Act ; and ( 9 ) by bylaw , to establish its fiscal year . ( c ) BOARD OF DIRECTORS . ( 1 ) FUNCTIONS . - SIPC shall have a Board of Directors which , subject to the provisions of this Act , shall determine the poli- cies ...
Side 372
... SIPC . ( d ) MEETINGS OF BOARD . - The Board of Directors shall meet at the call of its Chairman , or as otherwise provided by the bylaws of SIPC . ( e ) BYLAWS AND RULES.- ( 1 ) PROPOSED BYLAW CHANGES . - The Board of Directors of SIPC ...
... SIPC . ( d ) MEETINGS OF BOARD . - The Board of Directors shall meet at the call of its Chairman , or as otherwise provided by the bylaws of SIPC . ( e ) BYLAWS AND RULES.- ( 1 ) PROPOSED BYLAW CHANGES . - The Board of Directors of SIPC ...
Side 373
... SIPC may desig- nate or such earlier date as the Commission may determine , unless- ( A ) the Commission , by notice to SIPC setting forth the reasons therefor , disapproves such proposed bylaw change as being contrary to the public ...
... SIPC may desig- nate or such earlier date as the Commission may determine , unless- ( A ) the Commission , by notice to SIPC setting forth the reasons therefor , disapproves such proposed bylaw change as being contrary to the public ...
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Compilation of Securities Laws Within the Jurisdiction of the ..., Volum 4 United States Uten tilgangsbegrensning - 1988 |
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amount application appropriate regulatory agency assets bank Board broker or dealer broker or government business development company centum clearing agency Commis Commission Commodity Exchange Act contract corporation court curities debtor determine directly or indirectly directors effect employee face-amount certificate company Federal Reserve System filed government securities broker government securities dealer holding company indenture securities interstate commerce investment adviser issuer loan mails means or instrumentality ment municipal securities dealer national securities exchange necessary or appropriate officer otherwise paragraph participant payment person associated proceeding protection of investors provisions public interest purchase purposes pursuant to section reasonable registered investment company registration statement respect rule or regulation rules and regulations secu Securities Act securities issued security holders self-regulatory organization sion SIPC specified subparagraph subsection term tion transactions transfer agent trustee unit investment trust United States Code unlawful voting securities