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FEDERAL SECURITIES LAWS AND REGULATIONS
GENERAL REQUIREMENTS 401 Requirements as to Proper Form
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action affiliate aggregate amount applicable appropriate regulatory agency assets audit bank broker or dealer chapter clearing agency Commis Commission copy deemed described directors disclosed disclosure document electronic employee equity securities executive officer exemption exhibit Federal Federal Reserve System financial statements fiscal foreign Form Form 8-K funds furnish Gramm-Leach-Bliley Act graph incorporated by reference information required issued market risk material means ment municipal securities dealer national securities exchange necessary or appropriate offering price options partnership penny stock period post-effective amendment prior prospectus protection of investors public interest purchase purposes pursuant to section quired regis registrant's registration statement Regulation S-K required by Item respect rities roll-up transaction rule or regulation rules and regulations secu Securities Act security futures products security holders sion small business issuer specified suant subparagraph subsidiaries term thereof trading underwriter United United States Code