General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1962 |
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Página viii
... indebtedness to net capital ............... 54 54 55 55 55 55 5555 55 57 57 58 58 58 58 59 59 59 59 59 60 61 61 62 62 REGULATION 15D . REPORTS OF REGISTRants Under THE SECURITIES ACT OF 1933 Article 1. Annual Reports 15d - 1 ...
... indebtedness to net capital ............... 54 54 55 55 55 55 5555 55 57 57 58 58 58 58 59 59 59 59 59 60 61 61 62 62 REGULATION 15D . REPORTS OF REGISTRants Under THE SECURITIES ACT OF 1933 Article 1. Annual Reports 15d - 1 ...
Página 5
... indebtedness of all customers in respect of securities carried for their accounts ; except that this clause shall not be deemed to be violated by reason of an excess arising on any day through the reduction of the aggregate in ...
... indebtedness of all customers in respect of securities carried for their accounts ; except that this clause shall not be deemed to be violated by reason of an excess arising on any day through the reduction of the aggregate in ...
Página 6
... indebtedness " shall not be deemed to be reduced by reason of uncollected items . In computing aggregate indebtedness , related guaranteed and guarantor accounts shall be treated as a single account and considered on a consolidated ...
... indebtedness " shall not be deemed to be reduced by reason of uncollected items . In computing aggregate indebtedness , related guaranteed and guarantor accounts shall be treated as a single account and considered on a consolidated ...
Página 21
... indebtedness , the num- ber of shares if relating to shares , and the number of units if relating to any other kind of security . Associate . The term " associate " used to indi- cate a relationship with any person , means ( 1 ) any ...
... indebtedness , the num- ber of shares if relating to shares , and the number of units if relating to any other kind of security . Associate . The term " associate " used to indi- cate a relationship with any person , means ( 1 ) any ...
Página 22
... an amount which is material in relation to the par- ticular subsidiary , excepting indebtedness in- curred in the ordinary course of business which is not over - due and which matures within one year 22 SECURITIES AND EXCHANGE COMMISSION.
... an amount which is material in relation to the par- ticular subsidiary , excepting indebtedness in- curred in the ordinary course of business which is not over - due and which matures within one year 22 SECURITIES AND EXCHANGE COMMISSION.
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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