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" equity security" means any stock or similar security; or any security convertible, with or without consideration, into such a security, or carrying any warrant or right to subscribe to or purchase such a security; or any such warrant or right; or any... "
Compilation of Securities Laws Within the Jurisdiction of the Committee on ... - Page 71
by United States - 2001 - 852 pages
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The Trans-Alaska Pipeline and West Coast Petroleum Supply: 1977-1982, a ...

United States. Congress. Senate. Interior and Insular Affairs Committee - 1974 - 724 pages
...equity security, or certificate of interest in a business trust; or any bond or debenture or other security convertible, with or without consideration,...purchase such a security; or any such warrant or right. (e) "New Corporation" means any corporation of the types described in Subsections 7.3(d)(i) and(ii)....
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Laws Relating to Securities Commission, Exchanges and Holding Companies

United States - 1981 - 548 pages
...maturity of which is likewise limited. (11) The term " equity security " means any stock or similar security; or any security convertible, with or without...it may prescribe in the public interest or for the protection of investors, to treat as an equity security. (12) The term "exempted security" or "exempted...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1976 - 912 pages
...relationship which has been established with a bank; (b) "Equity security" means any stock; or similar security convertible, with or without consideration,...warrant or right; or any other security which the Comptroller of the Currency shall deem to be of similar nature and considers necessary or appropriate...
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The Petroleum Industry: Hearings Before the Subcommittee on Antitrust and ...

United States. Congress. Senate. Committee on the Judiciary. Subcommittee on Antitrust and Monopoly - 1975 - 1254 pages
...equity security, or certificate of interest in a business trust; or any bond or debenture or other security convertible, with or without consideration,...purchase such a security; or any such warrant or right. ( e ) "New Corporation" means any corporation of the types described in Subsections 7.3( d ) ( i )...
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Hearings, Reports and Prints of the Senate Committee on Agriculture ...

United States. Congress. Senate. Committee on Agriculture, Nutrition, and Forestry - 1978 - 1744 pages
...US.C. 78c(aKll) of the Securities Exchange Act, 15 USC 78c(aXll), to include "any stock or similar security; or any security convertible, with or without...it may prescribe in the public interest or for the protection of investors, to treat as an equity security. 11 See interpretative letter from CFTC Office...
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Reauthorization of the Commodity Futures Trading Commission: Hearing Before ...

United States. Congress. Senate. Committee on Agriculture, Nutrition, and Forestry. Subcommittee on Agricultural Research and General Legislation - 1978 - 696 pages
...15 USC 78c(aXll) of the Securities Exchange Act, 15 USC 78c(aXll), to include "any stock or similar security; or any security convertible, with or without...it may prescribe in the public interest or for the protection of investors, to treat as an equity security.' 11 See interpretative letter from CFTC Office...
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Reauthorization of the Commodity Futures Trading Commission: Hearing Before ...

United States. Congress. Senate. Committee on Agriculture, Nutrition, and Forestry. Subcommittee on Agricultural Research and General Legislation - 1978 - 748 pages
...15 USC 78c(aXll) of the Securities Exchange Act, 15 USC 78c(aXll), to include "any stock or similar security; or any security convertible, with or without...other security which the Commission shall deem to be or similar nature and consider necessary or appropriate, by such rules and regulations as it may prescribe...
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Code of Federal Regulations: 1949-1984

1978 - 1134 pages
...The term "equity security" Is defined by Section 3(a)(ll) of the Act to mean "any stock or similar security; or any security convertible, with or without...subscribe to or purchase such a security; or any such war"ant or right; or any other security which the Corporation shall deem to be of similar nature and...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1981 - 446 pages
...The term "equity security" is defined by section 3(a)(ll) of the Act to mean "any stock or similar security or any security convertible, with or without...security; or carrying any warrant or right to subscribe to OT purchase such a security; or any such warrant or right; or any other security which the Corporation...
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Adequacy of Federal Home Loan Bank Board Supervision of Empire Savings and ...

United States. Congress. House. Committee on Government Operations. Commerce, Consumer, and Monetary Affairs Subcommittee - 1984 - 606 pages
...other arrangement, whether written or otherwise; "(L) "equity security" means any stock or similar security; or any security convertible, with or without...purchase such a security; or any such warrant or right; "(M) "market-maker" means any specialist permitted to act as a dealer; any dealer acting in the capacity...
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