Compilation of Releases Dealing with Matters Arising Under the Securities Exchange Act of 1934 and Investment Advisers Act of 1940U.S. Government Printing Office, 1968 - 57 páginas |
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Página 2
... obtaining the information specified in Rule 10a - 2 , it is advisable for the member when he receives the order also to obtain information from the seller as to the practi- cability of then delivering the security . As a method of obtaining ...
... obtaining the information specified in Rule 10a - 2 , it is advisable for the member when he receives the order also to obtain information from the seller as to the practi- cability of then delivering the security . As a method of obtaining ...
Página 4
... obtain or increase the loan or as substituted collateral for customers ' securities . Furthermore , the existence of such a general lien would result in a violation of paragraph ( a ) ( 3 ) of the rules if customers ' securities are ...
... obtain or increase the loan or as substituted collateral for customers ' securities . Furthermore , the existence of such a general lien would result in a violation of paragraph ( a ) ( 3 ) of the rules if customers ' securities are ...
Página 7
... obtained a lien upon all securities bought or other- wise acquired with the proceeds of the day loan . Under such an ... obtain a general or so - called " cross- lien " on customers ' securities as additional collateral for other loans ...
... obtained a lien upon all securities bought or other- wise acquired with the proceeds of the day loan . Under such an ... obtain a general or so - called " cross- lien " on customers ' securities as additional collateral for other loans ...
Página 8
... obtained or increased only on the basis of securities carried for the account of customers . Furthermore , this exemp- tion is applicable only if the pledgee agrees that securities which it is informed are carried for the account of ...
... obtained or increased only on the basis of securities carried for the account of customers . Furthermore , this exemp- tion is applicable only if the pledgee agrees that securities which it is informed are carried for the account of ...
Página 16
... obtain all necessary information concerning the status of the distribution . In this connection , it would seem appropriate for the agreement between under- writers to contain provisions stating , in effect , that the manager , upon ...
... obtain all necessary information concerning the status of the distribution . In this connection , it would seem appropriate for the agreement between under- writers to contain provisions stating , in effect , that the manager , upon ...
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Términos y frases comunes
1934 The Securities account of customers advice aggregate indebtedness amount anti-fraud provisions applicable assets balance bank beneficial owner beneficial ownership broker or dealer broker-dealer brokers and dealers buying certificate circumstances client collateral computing net capital day loan determining net capital disclosure distribution effect engaged Exchange Act Release Exchange Commission today excluded from aggregate exemption filed firm future commodity contracts haircut hedge clauses hypothecate Investment Advisers Act Investment Company investment contract investment counsel investor issuer liabilities lien manager market price market value ment mortgage mutual funds national securities exchange over-the-counter broker overriding commission paragraph percent person pledge proxy solicitation Public Utility Act purpose question rules Section 206 Securities Act Securities and Exchange securities carried Securities Exchange Act securities held selling group short position short sale short selling soliciting material subordination agreement supra syndicate tion transaction underwriting group unlawful violation vote York Stock Exchange
Pasajes populares
Página 53 - ... (2) to obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading, or (3) to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser.
Página 13 - ... (2) To effect, alone or with one or more other persons, a series of transactions in any security registered on a securities exchange creating actual or apparent active trading in such security or raising or depressing the price of such security, for the purpose of inducing the purchase or sale of such security by others.
Página 36 - ... who does not otherwise hold funds or securities for or owe money or securities to customers...
Página 11 - To effect, alone or with one or more other persons, a series of transactions in any security registered on a national securities exchange creating actual or apparent active trading in such security or raising or depressing the price of such security, for the purpose of inducing the purchase or sale of such security by others.
Página 35 - The weight to be given to actual cost, to historical cost, and to cost of reproduction new, is to be determined in the light of the facts of the particular case.
Página 2 - ... he owns a security convertible into or exchangeable for it and has tendered such security for conversion or exchange; or (4) he has an option to purchase or acquire it and has exercised such option; or (5) he has rights or warrants to subscribe to it and has exercised such rights or warrants: Provided, however, That a person shall be deemed to own securities only to the extent that he has a net long position in such securities.
Página 34 - ... ownership, if he can vest or revest title in himself at once, or at some future time [the 1935 opinion had added at this point, "without payment of other than a nominal consideration"].
Página 53 - ... any device, scheme, or artifice to defraud any client or prospective client; (2) to engage in any transaction, practice, or course of business which operates as a fraud or deceit upon any client or prospective client...
Página 2 - He is not deemed to own a security if he owns securities convertible into or exchangeable for it but has not tendered such securities for conversion or exchange, or if he has an option or owns rights or warrants entitling him to such security, but has not exercised them. Within the meaning of the rules a person "owns" securities only to the extent that he has a net long position in such securities..
Página 30 - ... the furnishing of a form of proxy or other communication to security holders under circumstances reasonably calculated to result in the procurement, withholding or revocation of a proxy.