Banking Regulations for Examiners, Volume 4The Comptroller, 2005 - Banking law |
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48 Stat affiliate amended amount applicable associated person audit beneficial owner bidder broker or dealer broker-dealer business days capital certificate chapter class of securities clearing agency Commission consumer reporting agency copy counterparty curities deemed defined disclosure document effective equity securities Exchange Act exempt financial statements fiscal Form funds furnished government securities broker graph haircut information required investment bank holding investors issuer listed market maker market value material means ment municipal securities national securities exchange notice options OTC derivatives dealer penny stock percent period principal proxy statement purchase purposes pursuant to paragraph pursuant to section quired quotation record Regulation repurchase agreement request required by paragraph respect rity Rule Schedule Schedule 13D secu securities dealer security holders self-regulatory organization sion solicitation specified suant subject company subordination agreement sumer tender offer term tion trading trans transfer agent