EXCEPTIONS FOR BANKS FROM THE DEFINITION OF BROKER IN THE SECURITIES EXCHANGE ACT OF 1934 (REGULATION R)doi:CFR 2021 TITLE12 VOL2 CHAPTER II SUBCHAPTER A PART 218
17.Scott, Charity, "Caveat Vendor : Broker-Dealer Liability Under The Securities Exchange Act.", ... C Scott - Securities Regulation Law Journal 被引量: 3发表: 1989年 The extra‐territorial reach of the broker‐dealer registration requirements under the US Securities Exchange Act of 1934: the...
In addition, upon the sale of a Note to (or through) a broker, the broker must withhold 31% of the entire purchase price, unless either (i) the broker determines that the seller is a corporation or other exempt recipient or (ii) the seller provides, in th...
Broker-Dealer Regulation under the Securities Exchange Act of 1934: The Case of Independent Contracting190 COLUMBIA BUSINESS LAW BEVIEW [Vol.1994 C. Supervisory Obligations of Broker-Dealers . 222 D. Secondary liability in Private Litigation 228 IV. Commission and Case Precedent 234 A. Division ...
THE EXPANDING REQUIREMENT FOR REGISTRATION AS "BROKER-DEALER" UNDER THESECURITIES EXCHANGE ACT OF involve the issuance or sale of securities), he will not act asa negotiation by advising on questions of value or performing other acts to facilitateRice, Denis T...
Robert A. Boresta
In addition, upon the sale of a Security to (or through) a broker, the broker must withhold 31% of the entire sales price, unless either (i) the broker determines that the seller is a corporation or other exempt recipient or (ii) the seller provides, in t...
The Calculation Agent, as a registered broker-dealer, is required to maintain policies and procedures regarding the handling and use of confidential proprietary information, and such policies and procedures will be in effect throughout the term of the Warrants to restrict...