prescribe required paid-up capital of a securities company as the SEC thinks fit. (There is no minimum amount of required capital specified in the provision.) 1.4 Conduct rules of securities business
instruction from, the act of, or the failure to give instruction or to act which is a duty required to be performed by, the director, manager or any person responsible for the operation of such securities
regards the transfer of assets under an approved project where the seller of the assets is required to receive the re-transfer of assets from a special purpose juristic person, the provisions of Section 15
required under the first paragraph. The application for a license or registration, the issuance of a license or the acceptance for registration shall be made pursuant to the rules specified in the
which is a duty required to be performed by a director, manager or any person responsible for the operation of such juristic person, such person shall be liable to imprisonment for a term not exceeding
or the omission of an act which is a duty required to be performed by a director, manager or any person responsible for the operation of such juristic person, such person shall be liable to
approval is refused, the applicant shall also be notified of the reasons therefor. SECTION 6.4 Where the signatures of the directors or registrar are required in securities certificates under this Act, the
business operation of the company or any other reports required to be disclosed under Section 56, Section 57, Section 58 or Section 199; (3) an opinion of the business when a person makes the general tender