(b)(1) of section 5 which omits in part or summarizes information in the prospectus specified in subsection (a). A prospectus permitted under this subsection shall, except to the extent the Commission by rules or regulations deemed necessary or appropriate in the public interest or for the pro...
BRODSKY, RICHARD E.William & Mary Business Law Review
4.Something deposited or given as assurance of the fulfillment of an obligation; collateral. 5.One who undertakes to fulfill the obligation of another; a surety. 6.A financial instrument, such as a stock or bond, representing rights of ownership or creditorship and often traded in secondary ma...
The EPAct 2005 and EISA are both based on section 10b(5) of the Securities and Exchange Act, and focus on fraud-based manipulations. As a result, ... Pirrong,Craig - 《Energy Law Journal》 被引量: 19发表: 2010年 Aproximación histórico-comparada al Título VIII de la Ley de Mercado...
SEC 17a-4, SEC 18a-6, FINRA 4511, & CFTC 1.31 (US) SEC Regulation SCI (US) Shared Assessments SOX (US) Healthcare & life sciences Media & entertainment Telecommunications Regional General Data Protection Regulation (GDPR) California Consumer Privacy Act (CCPA) Virginia Consumer Data Protection ...
【德国】移民法 Act to Control and Restrict Immigration and to Regulate the Residence and Integration of EU Citizens and Foreigners(Immigration Act) ( 20 June 2002) 热度: 【德国】移民法 Act to Control and Restrict Immigration and to Regulate the Residence and Integration of EU Citizens and Foreig...
US SEC Fee is the Sales Tax as stated in Investment Products Service Fees and Charges of the Bank, it was created by the Securities Exchange Act of 1934 to be an additional transaction cost attached to the selling of exchange-listed equities. This fee is usually listed as a separate ...
section ) to be a recognized clearing house for the purposes of this nance;evant office-holder" means-- the Official Receiver appointed under section 75 of the Bankruptcy nance (Cap. 6); any person acting in relation to a company as its liquidator, ...
Capitalization: The long-term financing of a corporation, including the shareholder's equity section of the balance sheet plus long-term bonds outstanding.Cash flow: The net profits or losses of a business plus noncash expenses such as depreciation, amortization, and depletion. ...
Miami International Securities Exchange, LLC; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 来自 EBSCO 喜欢 0 阅读量: 27 作者: Elizabeth M. Murphy 摘要: The article reports a notice of application filing ...