15 U.S.C. § 78c
15 U.S. Code § 78c - Definitions and application - Law.Cornell.Edu
The term “broker” means any person engaged in the business of effecting transactions in securities for the account of others.
15 USC 78c: Definitions and application
Text contains those laws in effect on January 4, 1995. From Title 15-COMMERCE AND TRADE CHAPTER 2A-SECURITIES AND TRUST INDENTURES SUBCHAPTER III-TRUST ...
15 U.S.C. § 78c - U.S. Code Title 15. Commerce and Trade § 78c
The term “exchange” means any organization, association, or group of persons, whether incorporated or unincorporated, which constitutes, maintains, or provides ...
15 U.S.C. 78c - Definitions and application - Content Details - GovInfo
Title 15 - COMMERCE AND TRADE CHAPTER 2B - SECURITIES EXCHANGES Sec. 78c - Definitions and application ... Contains ... section 78c ... Date ... 2010 ... Laws In Effect ...
Definition: security from 15 USC § 78c(a)(10) - Law.Cornell.Edu
The term “security” means any note, stock, treasury stock, security future, security-based swap, bond, debenture, certificate of interest or participation in ...
U.S.C. Title 15 - COMMERCE AND TRADE - GovInfo
77q), the term “security-based swap agreement” means a swap agreement as defined in section 206A of the Gramm-Leach-Bliley Act (15 U.S.C. 78c note) of which a ...
Analyses of Section 78c - Definitions and application, 15 U.S.C. § 78c
A narrow-based security index means an index that meets any of the four criteria: (1) it has nine or fewer component securities; (2) a component security ...
15 USC 78c-5: Segregation of assets held as collateral in security ...
§78c–5. Segregation of assets held as collateral in security-based swap transactions · (a) Registration requirement · (b) Cleared security-based swaps · (1) ...
17 CFR Part 240 Subpart A - Rules of General Application - eCFR
... (15 U.S.C. 78c(a)(5)(B)) if that person: (1) Engages in a regular pattern of buying and selling securities that has the effect of providing liquidity to ...
Regulation of Securities Exchanges, 15 U.S.C. §§ 78c-78jj (Suppl. 5 ...
Periodical United States Code: Regulation of Securities Exchanges, 15 U.S.C. §§ 78c-78jj (Suppl. 5 1934). Back ...
ties Exchange Act of 1934 (15 U.S.C. 78c(a));. 12. (D) a registered municipal securities deal-. 13 er, as defined in section 3(a) of the Securities. 14.
Federal Register/Vol. 63, No. 78/Thursday, April 23, 1998/Notices
Section 3(a)(12) of the Act, 15 U.S.C. 78c(a)(12), to mean government securities, municipal securities, and several other types of securities classified as.
department of the treasury - Federal Reserve Board
15 U.S.C. 78c(a)(10). The definition specifically excludes a government security as defined at section 3(a)(42) of the Securities Exchange Act, 15 U.S.C. ...
(31) The term "municipal securities broker" means a broker engaged in the business of effecting transactions in municipal securities for the account of others.
Section 78c-1 - Swap agreements, 15 U.S.C. § 78c-1 - Casetext
15 U.S.C. § 78c-1 ... Section 78c-1 - Swap agreements (a) [Reserved] (b) Security-based swap agreements (1) The definition of "security" in section 78c(a)(10) of ...
Securities Exchange Act of 1934 - NYSE
... 15. Registration and Regulation of Brokers and Dealers. Sec. 15A. Registered ... U.S.C. 92a), and which is supervised and examined by State or Federal ...
Section 3(aX10) of the Securities Exchange Act of 1934 (15. U.S.C. 78c(a)(10)) is amended by inserting after "for a security," the following: "any put, call, ...
§ 78c. Definitions and application, Chapter 2B. SECURITIES ...
No issuer of municipal securities or officer or employee thereof acting in the course of his official duties as such shall be deemed to be a “broker”, “dealer”, ...
15 USC 78 - Brokers deemed to be registered - GovRegs
307, 321, 322.) CITE AS: 15 USC 78c. § 78c–1. Swap agreements. (a) [Reserved]. (b) Security-based swap agreements. (1) The definition of “security” in section ...
15 U.S.C. § 78c-1 - U.S. Code Title 15. Commerce and Trade § 78c-1
15 U.S.C. § 78c-1 - U.S. Code - Unannotated Title 15. Commerce and Trade § 78c-1. Swap agreements.