At a General Assembly Begun at Dover, in the Delaware State, ... the Following Acts Were Passed ..., 第 1 篇J. Adams, 1973 |
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第 635 頁
... broker-dealers, investment advisers and agents required (a) It is unlawful for any person to transact business in this State as a broker-dealer ... broker-dealer, investment adviser or issuer to employ an agent unless the agent is registered ...
... broker-dealers, investment advisers and agents required (a) It is unlawful for any person to transact business in this State as a broker-dealer ... broker-dealer, investment adviser or issuer to employ an agent unless the agent is registered ...
第 637 頁
... broker-dealer or investment adviser shall pay a filing fee of $150. Every applicant for initial or renewal registration as an agent shall pay a filing fee of $25 except that a partner, officer or director of a broker-dealer or ...
... broker-dealer or investment adviser shall pay a filing fee of $150. Every applicant for initial or renewal registration as an agent shall pay a filing fee of $25 except that a partner, officer or director of a broker-dealer or ...
第 641 頁
... broker-dealer or investment adviser under this clause without a finding or insolvency as to the broker-dealer or investment adviser; or (9) is not qualified on the basis of such factors as training, experience, and knowledge of the ...
... broker-dealer or investment adviser under this clause without a finding or insolvency as to the broker-dealer or investment adviser; or (9) is not qualified on the basis of such factors as training, experience, and knowledge of the ...
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ACT TO AMEND agency alcoholic liquors AMEND CHAPTER Amend Section AMENDED BY HOUSE amount application Approved July Assembly assessment audiology authorized bonds broker-dealer Cape Henlopen Capital Outlay Castle County certificate Commissioner Contractual Services corporation Dela DELAWARE CODE RELATING Department Division Employer's Share enacted Ending June 30 entirety and substituting filing fiscal FORMERLY HOUSE BILL FORMERLY SENATE BILL funds Health Insurance hearing aids Henlopen Acres HOUSE AMENDMENT issued June 30 Kent County Laws of Delaware license lieu thereof limited partner ment ordinance paragraph partnership payment Pensions purchase purposes pursuant read as follows real property registration Rehoboth Beach Salaries and Wages School District Secretary securities Selbyville South Bethany speech pathology striking said section Subchapter subsection substituting in lieu Supplies and Materials thereof the following thereof the word tion Title 18 Title 29 TOTAL violation vote Wages of Employees ware Code WHEREAS Woodbridge School