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" Every person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of any equity security (other than an exempted security) which is registered on a national securities exchange, or who is a director or an officer... "
Investor Protection: Hearings Before a Subcommittee of the Committee on ... - Página 46
por United States. Congress. House. Committee on Interstate and Foreign Commerce, United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1964 - 1418 páginas
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Stock Exchange Regulation: Hearing Before the Committee on Interstate and ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 1106 páginas
...securities for which they make or create a market. DIBECTOBH, OFFICEB8, AND PRINCIPAL STOCKHOLDERS SEC. 15. (a) Every person who is directly or indirectly the beneficial owner of more than 5 per centum of any class of any equity security (other than an exempted security) which is registered...
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Stock Exchange Regulation: Hearing Before the Committee...seventy-third ...

United States. Congress. Senate. Interstate and Foreign Commerce Committee - 1934 - 972 páginas
...market, and for the registration of the securities for which they make or create a market. SBC. 15. (a) Every person who Is directly or indirectly the beneficial owner of more than 5 per centum of any class of any equity security (other than an exempted security) which is registered...
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Report on the Study and Investigation of the Work, Activities ..., Volúmenes6-8

United States. Securities and Exchange Commission - 1936 - 1320 páginas
...Sec. 16 (a) of the Securities and Exchange Act of 1934, which provides that: "Every person who 1« directly or indirectly the beneficial owner of more...security (other than an exempted security) which Is held common stock ; and in many instances these holdings represented a substantial percentage of the...
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Official Summary of Stock Transactions and Holdings of Officiers ..., Volumen1

United States. Securities and Exchange Commission - 1935 - 208 páginas
...and Principal Stockholders S"。. 16. (a) Every person who is directly or indirectly the heneficial owner of more than 10 per centum of any class of any...(other than an exempted security) which is registered on a national securities exchange, or who is a director or an officer of the issuer of such security,...
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Report on Trading in Unlisted Securities Upon Exchanges Pursuant to Section ...

United States. Securities and Exchange Commission - 1936 - 64 páginas
...be exempt from the provisions of section 16 insofar as those provisions would otherwise apply to any person who is directly or indirectly the beneficial owner of more than 10 percent of such unlisted security and is neither a director nor officer of the issuer thereof not directly...
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Trading in Unlisted Securities Upon Exchanges: Hearing Before the Committee ...

United States. Congress. Senate. Committee on Banking and Currency - 1936 - 140 páginas
...be extended to any security if the issuer thereof, or the officers, directors, or beneficial owners of more than 10 per centum of any class of any equity security of such issuer, would thereby obtain the benefits of an exchange market for such security without being...
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Independent Offices Appropriation Bill for 1938: Hearings Before the ...

United States. Congress. House. Committee on Appropriations - 1937 - 1180 páginas
...every person who is or who becomes directly or indirectly the beneficial owner of more than 10 percent of any class of any equity security (other than an exempted security) which is registered on a national securities exchange, or who is a director or an officer of the issuer of such a security,...
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Independent Offices Appropriation Bill for 1939: Hearings Before the ...

United States. Congress. House. Committee on Appropriations - 1937 - 1490 páginas
...person who is, or who becomes directly or indirectly, the beneficial owner of more than 10 percent of any class of any equity security (other than an exempted security) which is registered on a national securities exchange, or who is a director or an officer of the issuer of such a security,...
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General Rules and Regulations Under the Securities Exchange Act of 1934, as ...

United States. Securities and Exchange Commission - 1956 - 900 páginas
...otherwise subject to the reporting requirements of section 16 (a). (c) In the event that ten percent of any class of any equity security (other than an exempted security) which is registered on a national securities exchange is held in a trust, that trust and the trustees thereof as such shall...
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Decisions and Reports, Volumen38

United States. Securities and Exchange Commission - 1960 - 996 páginas
...such Information Is In the public Interest." Section 16(a) of the Act as applicable here requires that every person who Is directly or Indirectly the beneficial owner of more than 10% of any class of any equity security (other than an exempted security) which Is registered on a national...
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