clearing houses and central securities depositories, and benefits of the public and clients shall be taken into consideration. Said regulations shall include at least the following: (1) policies on
derivatives broker; (2) “ derivatives exchange ” means any derivatives exchange licensed by the Securities and Exchange Commission; (3) “ initial margin ” means the minimum amount of asset to be deposited by a
derivatives broker; (2) “derivatives exchange” means any derivatives exchange licensed by the Securities and Exchange Commission; (3) “initial margin” means the minimum amount of asset to be deposited by a
activity The Contacts may accumulate their participation hours in the activities accepted by the Office provided that at least 15 hours of attendance are achieved during the latest two calendar years prior
Contacts may accumulate their participation hours in the activities accepted by the Office provided that at least 15 hours of attendance are achieved during the latest two calendar years prior to the
attending the meeting or replying the letter hold at least 33% of the total investment units, and the number of unitholders must be at least 25 or half of the total number of unitholders. Previously, a
” means a sale of securities which must be borrowed for delivery; 2“client” means a person who enters into an agreement to borrow money from a securities company for purchasing securities, or a person who
Chapter 2. Chapter 1 Retail trust ___________________ Clause 3 The trust instrument of a retail trust shall compose at least the stipulations concerning the following matters; (1) the creation of trust