having characteristic and substantial matter as notified by the Office; (3) in the case where there is a transfer of securities between accounts of different depositors, or between a depositor’s house
have in place a securities borrowing and lending agreement having characteristic and substantial matter as notified by the Office; (3) in the case where there is a transfer of securities between accounts
from the date of receipt of completed application and document evidence, unless there appear to be additional fact and the Office notify of such necessity to the securities company prior to the period of
document evidence, unless there appear to be additional fact and the Office notify of such necessity to the securities company prior to the period of thirty days, the Office may extend the period for
thirty days as from the date of receipt of completed application and document evidence, unless there appear to be additional fact and the Office notify of such necessity to the derivatives broker prior to
within thirty days as from the date of receipt of completed application and document evidence, unless there appear to be additional fact and the Office notify of such necessity to the derivatives broker
the result of its consideration to the derivatives broker within thirty days as from the date of receipt of completed application and document evidence, unless there appear to be additional fact and the
limiting derivatives broker ’s responsibility on assets of clients , and in the case where the assets of the clients is lost or defected due to the omission of a derivatives broker ’s duty, there shall be a
derivatives broker’s responsibility on assets of clients, and in the case where the assets of the clients is lost or defected due to the omission of a derivatives broker’s duty, there shall be a statement