 | Administrative law - 1984 - 1238 pages
...corporation. (3) Purchase any security from any customer who is a member of a national securities exchange or a broker or dealer registered with the Securities...Commission under section 15 of the Securities Exchange Act of 1934 (IS U.8.C. 78o), or sell any security to such customer: Provided, That the creditor acting... | |
 | Administrative law - 1979 - 1240 pages
...exchange may effect and finance transactions for another member of a national securities exchange or a broker or dealer registered with the Securities and Exchange Commission under section IS of the Securities Exchange Act of 1934 (15 USC 78o) from whom the member receives (1) written notice,... | |
 | Administrative law - 1999 - 1160 pages
...union, provided the funds are earning interest at rates which are commercially reasonable; or (ii) With a broker or dealer registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934, provided the funds are invested in a money market fund or in US... | |
 | Administrative law - 2002 - 1150 pages
...union, provided the funds are earning interest at rates which are commercially reasonable; or (ii) With a broker or dealer registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934, provided the funds are invested in a money market fund or in US... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1970 - 378 pages
...46-824 O - 70 - 14 (6) a savings bank, building and loan association, or other thrift institution; (7) a broker or dealer registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934; (8) a broker or dealer in securities or commodities; (9) an investment... | |
 | United States. Congress. House. Committee on Banking and Currency - Banking law - 1970 - 396 pages
...National Housing Act. (6) a savings bank, building and loan association, or other thrift institution. (7) a broker or dealer registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934. (8) a broker or dealer in securities or commodities. (9) an investment... | |
 | United States. Congress. House. Banking and Currency Committee - 1970 - 392 pages
...the National Housing a savings bank, building and loan association, or other thrift institution, (7) a broker or dealer registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934. (8) a broker or dealer in securities or commodities. (9) an investment... | |
 | United States. Congress. Senate. Committee on Banking and Currency - Banking law - 1970 - 1242 pages
...«-824 O - 70 - 14 (6) a savings bank, building and loan association, or other thrift institution; (7) a broker or dealer registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934; (8) a broker or dealer in securities or commodities; (9) an investment... | |
 | United States. Congress. Senate. Banking and Currency Committee - 1972 - 540 pages
...bank, building and loan association, credit union, industrial bank, or other thrift institution; (7) a broker or dealer registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934; 46 Stat. 881. (8) a broker or dealer in securities or commodities;... | |
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USC 1724(a))); (F) a thrift institution; (G) a broker or dealer registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934 (15 USC... 
