General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1962 |
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Página 2
... appropriate depart- ment or agency of the United States to require pro- tection in the interests of national defense . ( b ) Where a document is omitted pursuant to paragraph ( a ) hereof , there shall be filed , in lieu of such ...
... appropriate depart- ment or agency of the United States to require pro- tection in the interests of national defense . ( b ) Where a document is omitted pursuant to paragraph ( a ) hereof , there shall be filed , in lieu of such ...
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... appropriate in the public interest or for the pro- tection of investors . Rule 10b - 3 . Employment of Manipulative and Deceptive Devices . It shall be unlawful for any broker or dealer , directly or indirectly , by the use of any means ...
... appropriate in the public interest or for the pro- tection of investors . Rule 10b - 3 . Employment of Manipulative and Deceptive Devices . It shall be unlawful for any broker or dealer , directly or indirectly , by the use of any means ...
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... appropriate notice and opportunity for hear- ing to the exchange and to such issuer ) finding that neither of the conditions specified in subpara- graphs ( i ) and ( ii ) above exists : Provided , how- ever , That such exemption shall ...
... appropriate notice and opportunity for hear- ing to the exchange and to such issuer ) finding that neither of the conditions specified in subpara- graphs ( i ) and ( ii ) above exists : Provided , how- ever , That such exemption shall ...
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... appropriate notice and opportunity for hearing to the issuer of such warrant and to the exchange or exchanges on which such warrant is admitted to dealing as an exempted security , it finds that- ( 1 ) Any of the terms or conditions of ...
... appropriate notice and opportunity for hearing to the issuer of such warrant and to the exchange or exchanges on which such warrant is admitted to dealing as an exempted security , it finds that- ( 1 ) Any of the terms or conditions of ...
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... appropriate in the public interest or for the protection of investors . ( f ) If it appears necessary or appropriate in the public interest or for the protection of in- vestors , the Commission may summarily suspend the exemption of ...
... appropriate in the public interest or for the protection of investors . ( f ) If it appears necessary or appropriate in the public interest or for the protection of in- vestors , the Commission may summarily suspend the exemption of ...
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Términos y frases comunes
action amendment amount annual report application for registration application or report appropriate becomes effective behalf beneficial owner broker or dealer business day cation certificates Commission curities deemed device or contrivance directly or indirectly director or officer distribution document effective date equity security exempt security filed pursuant financial statements fiscal form of proxy furnish hypothecation indebtedness issuer lien listed and registered market value means ment merger or consolidation national securities ex national securities exchange operation of section options otherwise paragraph participant partner period prior promptly proxy statement pursuant to Rule pursuant to section record registration statement reports pursuant restricted stock section 16 Securities Act securities association securities carried security holders sion specified stock option suant subordination agreement subparagraph subsidiary syndicate or group term thereto tion transaction trust unless unlisted trading privileges vote voting trust warrants or rights