15 U.S.C. 78c
15 U.S. Code § 78c - Definitions and application - Law.Cornell.Edu
the occurrence, nonoccurrence, or extent of the occurrence of an event relating to a single issuer of a security or the issuers of securities in a narrow-based ...
15 USC 78c: Definitions and application
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 U.S.C. § 78c - U.S. Code Title 15. Commerce and Trade § 78c
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 U.S.C. 78c - Definitions and application - Content Details - GovInfo
Bluebook · Publication Title. United States Code, 2006 Edition, Supplement 4, Title 15 - COMMERCE AND TRADE · Category. Bills and Statutes · Collection. United ...
Definition: security from 15 USC § 78c(a)(10) - Law.Cornell.Edu
security. (10) The term “security” means any note, stock, treasury stock, security future, security-based swap, bond, debenture, certificate of interest or ...
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
Complying with a duty to screen employees or applicants before hiring or to monitor or retain employee communications that is established under federal law or ...
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 ... U.S.C. 92a), and which is supervised and examined ... 78c note) of which a material term is based ...
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.