Annual Report of the Securities and Exchange CommissionU.S. Government Printing Office, 1963 |
Dentro del libro
Resultados 1-5 de 39
Página v
... Amendment to Rule 3a12-3-- 13 Adoption of Rule 10b - 9_ . 14 Proposed Rule 10b - 10 ----- 15 Proposed Amendments to Rules 13a - 15 and 15d - 15 and Form 7 - K_ 15 Adoption of Rule 15d - 21 and Form 11 - K ; Amendment to Form 10 - K ...
... Amendment to Rule 3a12-3-- 13 Adoption of Rule 10b - 9_ . 14 Proposed Rule 10b - 10 ----- 15 Proposed Amendments to Rules 13a - 15 and 15d - 15 and Form 7 - K_ 15 Adoption of Rule 15d - 21 and Form 11 - K ; Amendment to Form 10 - K ...
Página 13
... amendments to Form S - 8 which is the form authorized for use in registering se- curities under the Securities Act to be offered pursuant to certain stock purchase , savings or similar plans , and for registering the inter- ests in such ...
... amendments to Form S - 8 which is the form authorized for use in registering se- curities under the Securities Act to be offered pursuant to certain stock purchase , savings or similar plans , and for registering the inter- ests in such ...
Página 14
... amended , would provide that no exemption is available for voting trust certificates where the voting trustee is or ... amendment of the rule would take out of the exemption from Sections 14 ( a ) and 16 of the Act certain issuers ...
... amended , would provide that no exemption is available for voting trust certificates where the voting trustee is or ... amendment of the rule would take out of the exemption from Sections 14 ( a ) and 16 of the Act certain issuers ...
Página 15
... Amendments to Rules 13a - 15 and 15d - 15 and Form 7 - K Rules 13a - 15 and 15d - 15 require certain real estate companies to file with the Commission pursuant to Sections 13 and 15 ( d ) of the Securities Exchange Act quarterly reports ...
... Amendments to Rules 13a - 15 and 15d - 15 and Form 7 - K Rules 13a - 15 and 15d - 15 require certain real estate companies to file with the Commission pursuant to Sections 13 and 15 ( d ) of the Securities Exchange Act quarterly reports ...
Página 16
... amendments to Rules 13a - 15 and 15d - 15 and Form 7 - K.10 9 The rules as proposed to be amended would require the filing of quarterly reports on Form 7 - K by real estate investment trusts and by real estate companies which as a ...
... amendments to Rules 13a - 15 and 15d - 15 and Form 7 - K.10 9 The rules as proposed to be amended would require the filing of quarterly reports on Form 7 - K by real estate investment trusts and by real estate companies which as a ...
Otras ediciones - Ver todas
Términos y frases comunes
accounting action amended American Stock Exchange amicus curiae amount appeal filed application broker-dealer Closed Commission's Complaint and request Complaint filed Dec Complaint filed Mar consent entered Court of Appeals debtor defendant pleaded guilty defendants entered Jan denied dismissed Eastern District ended June 30 enforcement entered June entered Mar entered Nov entered Oct Exchange Commission exemption Federal fendants filed Apr filed Jan Final judgment fiscal year 1963 included indictment investigation investment adviser Investment Company Act investors issuer issues judgment by consent July 19 June 14 June 25 June 30 ment motion NASD offering Order entered Pending percent Petition proceedings provisions pursuant Receiver appointed receiver filed regional offices registration statement Regulation remaining defendant Rule Section Securities Act Securities and Exchange Securities Exchange Act Southern District Stock Exchange stockholders subpoena Summons and complaint TABLE tion Title 18 Total transactions U.S. District Court U.S.C. Secs violations York Stock Exchange