 | United States. Securities and Exchange Commission - 1956 - 1172 pages
...Section 203 (d) ) MEMORANDUM OPINION AND OKDER REVOKING REGISTRATIONS These proceedings were instituted pursuant to Section 15(b) of the Securities Exchange Act of 1934 ("Exchange Act") and Section 203(d) of the Investment Advisers Act of 1940 ("Advisers Act") to determine whether... | |
 | 1992 - 694 pages
...thereunder within 5 years prior to the filing or use of such offering sheet; (5) Is subject to an order of the Commission pursuant to section 15(b) of the Securities Exchange Act of 1934, or pursuant to section 203(d) or (e) of the Investment Advisers Act of 1940, or is suspended, or has... | |
 | 1990 - 560 pages
...thereunder within 5 years prior to the filing or use of such offering sheet; (5) Is subject to an order of the Commission pursuant to section 15(b) of the Securities Exchange Act of 1934, or pursuant to section 203(d) or (e) of the Investment Advisers Act of 1940, or is suspended, or has... | |
 | 1978 - 1252 pages
...thereunder within 5 years prior to the filing or use of such offering sheet; (5) Is subject to an order of the Commission pursuant to section 15(b) of the Securities Exchange Act of 1934, or pursuant to section 203(d) or (e) of the Investment Advisers Act of 1940, or is suspended, or has... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1970 - 378 pages
...and Markets alleges : AIOS, Ltd (SA) d/b/a Investors Overseas Services (IOS), a Panama corIKiration, having its principal office at 119 rue de Lausanne,...York, became registered as a broker-dealer with the Commission pursuant to Section 15 (b) of the Exchange Act on November 18, 1958 and is a member of the... | |
 | United States. Congress. House. Committee on Banking and Currency - 1970 - 396 pages
...Continental Services, Ltd. (ICS), having Its principal office at 7 West 57th Street, New York, New York, became registered as a broker-dealer with the Commission pursuant to Section 15(b) of the Exchange Act on November 18, 1958 and is a member of the National Association of Securities Dealers,... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1970 - 1242 pages
...Geneva. Switzerland, became registered as a broker-dealer with the Commission pursuant to Section 15 (b) of the Securities Exchange Act of 1934 (Exchange Act) on June 10, 1960. Management company Aggregate investment company assets managed (millions) Percent olFOF portfolio Total... | |
 | United States. Securities and Exchange Commission - 1992 - 1098 pages
...Marino"), is a California corporation which has been registered with the Commission as a broker-dealer pursuant to Section 15(b) of the Securities Exchange Act of 1934 ("Exchange Act") since November 1986; and B. On July 16, 1991, San Marino filed with the Commission a Notice of... | |
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Switzerland, became registered as a broker-dealer with the Commission pursuant to Section 15(b) of the Securities Exchange Act of 1934 (Exchange Act) on June 10, 1960. 
