Number of matches: 268
11.
...
(PDF)
...
consideration is received.
(E) Whether the sales are made for the same general purpose.
(13) "Office of supervisory
jurisdiction" means any office of a broker-dealer at which one (1) or more of the
...
12.
[Latest Update] 710 IAC 4 UNIFORM SECURITIES
(PDF)
...
, officers, general partners, or beneficial owners of ten percent (10%) or more of
any class of
equity securities has been convicted in any
jurisdiction within five (5) years prior to the
...
13.
[2023] 710 IAC 4 Uniform Securities
(PDF)
...
) "Office of supervisory
jurisdiction" means any office of a broker-dealer at which one (1) or more of the following
functions takes place:
(A) Order execution or market making, or both.
(B
...
14.
[2022] 710 IAC 4 Uniform Securities
(PDF)
...
, or any of its directors, officers, general partners, or beneficial owners of ten percent (10%) or more
of any class of
equity securities has been convicted in any
jurisdiction within five (5
...
15.
[2021] 710 IAC 4 Uniform Securities
(PDF)
...
, or any of its directors, officers, general partners, or beneficial owners of ten percent (10%) or more
of any class of
equity securities has been convicted in any
jurisdiction within five (5
...
16.
[2020] 710 IAC 4 Uniform Securities
(PDF)
...
, or any of its directors, officers, general partners, or beneficial owners of ten percent (10%) or more
of any class of
equity securities has been convicted in any
jurisdiction within five (5
...
17.
[2019] 710 IAC 4 Uniform Securities
(PDF)
...
, or any of its directors, officers, general partners, or beneficial owners of ten percent (10%) or more
of any class of
equity securities has been convicted in any
jurisdiction within five (5
...
18.
[2018] 710 IAC 4 Uniform Securities
(PDF)
...
, or any of its directors, officers, general partners, or beneficial owners of ten percent (10%) or more
of any class of
equity securities has been convicted in any
jurisdiction within five (5
...
19.
[2017] 710 IAC 4 Uniform Securities
(PDF)
...
, or any of its directors, officers, general partners, or beneficial owners of ten percent (10%) or more
of any class of
equity securities has been convicted in any
jurisdiction within five (5
...
20.
[2016] 710 IAC 4 Uniform Securities
(PDF)
...
, or any of its directors, officers, general partners, or beneficial owners of ten percent (10%) or more of
any class of
equity securities has been convicted in any
jurisdiction within five (5
...
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Number of matches: 268
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