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(a) With respect to an offering of asset-backed securities registered pursuant to §230.415(a)(1)(vii) or §230.415(a)(1)(xii) of this chapter: (1) Annual and other reports need not ...
(a) Regarding a class of asset-backed securities, if the asset pool for the asset-backed securities includes a pool asset representing an interest in or the ...
The following transactions shall be exempt from 17 CFR 240.15g-2, 17 CFR 240.15g-3, 17 CFR 240.15g-4, 17 CFR 240.15g-5, and 17 CFR 240.15g-6: (a) Transactions ...
(a) It shall be unlawful for a broker or dealer to effect a transaction in any penny stock for or with the account of a ...
(a) Requirement. It shall be unlawful for a broker or dealer to effect a transaction in any penny stock with or for the account of ...
Preliminary Note: Brokers and dealers may wish to refer to Securities Exchange Act Release No. 30608 (April 20, 1992) for a discussion of the procedures ...
(a) General. It shall be unlawful for a broker or dealer to effect a transaction in any penny stock for or with the account of ...
(a) Requirement. It shall be unlawful for any broker or dealer that has effected the sale to any customer, other than in a transaction that ...
As a means reasonably designed to prevent fraudulent, deceptive, or manipulative acts or practices, it shall be unlawful for any person to sell or offer ...
(a) As a means reasonably designed to prevent fraudulent, deceptive, or manipulative acts or practices, it shall be unlawful for a broker or dealer to ...