Securities Firms: Assessing the Need to Regulate Additional Financial Activities : Report to Congressional Committees

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Page 50 - ... security"; or any certificate of interest or participation in, temporary or interim certificate for, receipt for, or warrant or right to subscribe to or purchase, any of the foregoing; but shall not include currency or any note, draft, bill of exchange, or banker's acceptance, which has a maturity at the time of issuance of not exceeding nine months, exclusive of days of grace, or any renewal thereof the maturity of which is likewise limited. (11) The term "equity security...
Page 50 - security" means any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas, or other mineral rights, or, in general, any interest or instrument commonly known as a security...
Page 50 - Director" means any director of a corporation or any individual who performs similar functions in respect of any company. (16) "Security" means any note, draft, stock, treasury stock, bond, debenture, certificate of interest or participation in any profit-sharing agreement or in any oil, gas...
Page 87 - SECURITIES AND EXCHANGE COMMISSION, BEFORE THE SUBCOMMITTEE ON TELECOMMUNICATIONS AND FINANCE OF THE HOUSE COMMITTEE ON ENERGY AND COMMERCE CONCERNING HR 975, THE SECURITIES LAW ENFORCEMENT REMEDIES ACT OF 1989 JUly 19, 1989 I.
Page 1 - The Honorable John D. Dingell Chairman, Committee on Energy and Commerce House of Representatives The Honorable Dan Rostenkowski Chairman, Committee on Ways and Means House of Representatives The Honorable Barbara B.
Page 50 - ... any put, call, straddle, option, or privilege on any security, certificate of deposit, or group or index of securities (including any interest therein or based on the value thereof), or any put, call, straddle, option, or privilege entered into on a national securities exchange relating to foreign currency, or, in general, any interest or instrument commonly known as a "security...
Page 24 - Act of 1934, which requires that any persons who engage in the business of buying and selling securities for their own account or for customers must register with SEC as broker-dealers.
Page 57 - Following a recent change to accounting standards by the Financial Accounting Standards Board (Statement of Financial Accounting Standards No.
Page 87 - GAO staff at your convenience to discuss our comments further. If you have any questions regarding this letter, please feel free to telephone me at (202) 272-3000.
Page 1 - The Honorable Donald W. Riegle Chairman, Committee on Banking, Housing and Urban Affairs United States Senate The Honorable Henry B.

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