10 ENGLISH BOOKS RELATING TO «SECURITIES DEALER»
Discover the use of
securities dealer in the following bibliographical selection. Books relating to
securities dealer and brief extracts from same to provide context of its use in English literature.
1
Code of Federal Regulations, Title 17, Commodity and ...
RULES l'thiLlA'l'lNG TO OVER-THE-COUNTER MARKETS § 240.15c1-1
Definitions. As used in any rule adopted pursuant to section 15(c)(l) of the Act: (a)
The term customer shall not include a broker or dealer or a municipal securities
dealer; ...
Office of the Federal Register (U S ),
2012
2
Annotated British Columbia
Securities Legislation 2001
34(2), BC Form 31-902F] • if the applicant is applying as an investment dealer,
securities dealer or exchange contracts dealer, an audited Joint Regulatory
Financial Questionnaire and Report for a period ending no more than 90 days
before ...
Joanne Dolfato, British Columbia, Kathleen Jones-Lepidas,
2001
3
The Code of Federal Regulations of the United States of America
Section 15B(c)(2), 15 U.S.C. 78o-4(c)(2) (suspension or revocation of registration
, or censure of a municipal securities dealer). Section 15B(c)(4), 15 U.S.C. 78o-4(
c)(4) (censure, suspension or bar of an associate of a municipal securities ...
4
United States Code 2006, Volume 7: Title 12, Banks and ...
Any registered municipal securities dealer may, upon such terms and conditions
as the Commission may deem necessary in the public interest or for the
protection of investors, withdraw from registration by filing a written notice of
withdrawal ...
5
United States Code, 1982
If the Commission finds that any registered municipal securities dealer or
municipal advisor is no longer in existence or has ceased to do business as a
municipal securities dealer or municipal advisor, the Commission. by order. shall
cancel ...
United States, United States. Superintendent of Documents, United States. Congress. House. Committee on the Judiciary,
1988
pensation of such employees, attorneys, and consultants as may be necessary or
appropriate to carry out the Board's functions under this section. (J) provide that
each municipal securities broker and each municipal securities dealer shall pay ...
7
Code of Federal Regulations: LSA, list of CFR sections affected
(b) The term the completion of the transaction means: (1) In the case of a
customer who purchases a security through or from a broker, dealer or municipal
securities dealer, except as provided in paragraph (b)(2) of this section, the time
when ...
8
17 CFR Commodity and
Securities Exchange: CFR Parts 240 to End
17-CFR-240-END-V3
Offfice of The Federal Register,
2013
9
Civil False Claims and Qui Tam Actions 4e (2 Volumes)
(5) This action is hereby dismissed with prejudice as to the United States' and
Relator's claims against [“Securities Dealer"], with the United States and [“
Securities Dea1er"] to bear their own costs and attorneys' fees. By separate
agreement ...
10
Annotated Alberta
Securities Legislation
PART 2 INTERPRETATION In this Policy Statement: "adviser", "affiliate", "
company", "financial intermediary dealer", "limited market dealer", "mutual fund
dealer", "real estate securities dealer", "securities", "securities issuer", "
scholarship plan ...
Joanne Dolfato, Kathleen Jones-Lepidas, Alberta,
2002
5 NEWS ITEMS WHICH INCLUDE THE TERM «SECURITIES DEALER»
Find out what the national and international press are talking about and how the term
securities dealer is used in the context of the following news items.
Securities dealer banned for shares manipulation
The Australian Securities and Investments Commission (ASIC) has banned former Sydney securities dealer Anton Kerstens from providing financial services for ... «Money Management, Apr 15»
Securities dealer has AFS licence cancelled
Perth securities dealer Stellar Securities has had its Australian financial services licence cancelled after it failed to comply with its financial requirement ... «Money Management, Jul 13»
You Do Not Want to Be a Securities Dealer in Memphis Right Now
Then, this morning, the Securities & Exchange Commission announced that it had filed administrative charges against eight former directors involved with ... «Arkansas Business Online, Dec 12»
ASIC identifies mis-selling by securities dealers
Securities dealers are the latest to feel the scrutiny of the Australian Securities and Investments Commission (ASIC) with the regulator claiming some are giving ... «Money Management, Aug 12»
How Regulators Missed Madoff
Madoff is one of the original architects of the electronic Nasdaq stock market and sat on the board of governors of the National Association of Securities Dealers, ... «Forbes, Jan 09»