Securities exchange act
Found 4 free book(s)New Jersey Uniform Securities Law
www.njconsumeraffairs.govSecurities and Exchange Commission in Rule 15c3-1, 17 C.F.R. s.240.15c3-1, made pursuant to the "Securities Exchange Act of 1934," prescribing a minimum permissible ratio of aggregate indebtedness to net capital as such formula presently exists or as it may hereafter be amended;
APPLICATION FOR, AND AMENDMENTS TO APPLICATION …
www.sec.govForm 1 requires an exchange seeking to register as a national securities exchange or seeking an exemption from registration as a national securities exchange pursuant to Section 5 of the Exchange Act to provide the Securities and Exchange Commission (“SEC” or “Commission”) with certain information regarding the operation of the exchange.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION ...
www.sec.govthe Securities Act of 1933, check the following box. If this Form is fi led to register additional securities for an o ff ering pursuant to Rule 462(b) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier eff ective registration statement for the same off ering.
Foreign Exchange Management (Transfer or issue of security ...
rbidocs.rbi.org.ina) the scheme has been drawn in terms of regulations issued under the Securities Exchange Board of India Act, 1992; and b) face value of the shares to be allotted under the scheme to the non-resident employees does not exceed 5% of the paid-up capital of the issuing company.