Search results with tag "Securities exchange act of 1934"
NET CAPITAL REQUIREMENTS FOR BROKERS AND DEALERS
www.finra.orghas the authority to cancel its registration pursuant to Section 15b-5 of the Securities Exchange Act of 1934, as amended. (SEC Staff to NASD) SEA Rule 15c3-1(a)(1)(i)/01. 12 ... national securities exchange or a facility of a registered national securities association; and (B) any broker or dealer that effects more than ten transactions in any ...
Report of Investigation Pursuant to Section 21(a) of the ...
www.sec.govJul 25, 2017 · Act”) and the Securities Exchange Act of 1934 (“Exchange Act”). 1. The Commission deems it appropriate and in the public interest to issue this report of investigation (“Report”) pursuant to . 1 This Report does not analyze the question whether …
New Jersey Uniform Securities Law - New Jersey Division of ...
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;
Audit committee requirements and governance topics …
www2.deloitte.comSection 10A of the Securities Exchange Act of 1934 specifies general criteria for audit committee independence. Under these criteria, an audit committee member is permitted to receive compensation such as director fees, retainers, and meeting fees for serving on the board, the audit committee, or another committee, but may not:
Securities Exchange Act of 1934 - SEC.gov
www.sec.gov115 SECURITIES EXCHANGE ACT OF 1934 Sec. 12 pany under section 3(c)(10)(B) of the Investment Company Act of 1940. (E) any security of an issuer which is a ‘‘cooperative asso ciation’’ as defined in the Agricultural Marketing Act, approved June 15, 1929, as amended, or a federation of such cooperative
Securities Exchange Act of 1934 - New York Stock Exchange
www.nyse.comSec. 3 SECURITIES EXCHANGE ACT OF 1934 4 ties the functions commonly performed by a stock exchange as that term is generally understood, and includes the market place and the market facilities maintained by such exchange. (2) The term ‘‘facility’’ when used with respect to an ex-change includes its premises, tangible or intangible property
SECURITIES AND EXCHANGE COMMISSION 17 CFR PART …
www.sec.govSecurities and Exchange Commission, 100 F Street, NE, Washington, DC 20549. SUPPLEMENTARY INFORMATION : The amendments to Rules 13a-15(c) 1 and 15d-15(c) 2 under the Securities Exchange Act of 1934 3 (the “Exchange Act”), which
Securities Exchange Act of 1934 - FRASER
fraser.stlouisfed.orgbond, debenture, certificate of interest or participation in any profit- ... others, unregistered securities, the market in which is predominantly intrastate) as the Commission may, by such rules and regulations as ... District of Columbia, Alaska, Hawaii, Puerto Kico, the Philippine Islands, the Canal Zone, the Virgin Islands, or any other ...