WebSec. 3 SECURITIES EXCHANGE ACT OF 1934 4 ties the functions commonly performed by a stock exchange as that term is generally understood, and includes the market place and … WebA person may withdraw a request made pursuant to paragraph (c) (1) of this section at any time prior to the issuance of a joint order under paragraph (c) (4) of this section by the …
Oaktree Capital Group, LLC (Form: 8-K, Received: 04/05/2024 …
WebThe list of disqualifying events according to Section 3(a)(39) of the Exchange Act are as follows: certain misdemeanor and all felony criminal convictions for a period of ten years … WebExchange Act Section 3(a)(4)(B)(v) excepts a bank from the definition of "broker" to the extent it effects transactions as part of a program for the investment or re-investment of … sussex sign company
SECURITIES AND EXCHANGE COMMISSION - SEC.gov
Weba contract of sale for future delivery on the index is traded on or subject to the rules of a foreign board of trade and meets such requirements as are jointly established by rule or regulation by the Commission and the Commodity Futures Trading Commission; A purchase by an insurance company for one or more of its separate accounts, as … (e)(4)(C), is title II of act Aug. 22, 1940, ch. 686, 54 Stat. 847, which is classified … For all student loans under part B or D of title IV of the Higher Education Act of … This subchapter may be cited as the “Trust Indenture Act of 1939.” (May 27, 1933, … “(3) Whenever an issuer is found to have violated section 78dd–1(a) of this title, … Section 10 of the STOCK Act, referred to in subsecs. (g)(1) and (h)(1), ... the rules … The Commission, the Board of Governors of the Federal Reserve System, and the … Not later than 90 days after the date of the enactment of this Act [Apr. 5, 2012], the … WebThe information included in this Item 7.01, including Exhibit 99.1, shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended … Web(c) either the approved clinician in charge of it or a registered medical practitioner appointed as mentioned in section 58 (3) above has certified in writing that the patient is capable of... sussex sphere log in