| United States. Securities and Exchange Commission - 1963 - 1134 páginas
...fiscal year. Proposed Amendments to Form 8-K Form 8-K is the form prescribed for current reports filed pursuant to Section 13 or 15 (d) of the Securities Exchange Act. During the fiscal year, the Commission announced that it has under consideration certain proposed amendments... | |
| United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1174 páginas
...registration statement or portions thereof, and such copies of reports theretofore filed by the registrant pursuant to section 13 or 15 (d) of the Securities Exchange Act of 1934, as the Commission shall designate by rules and regulations or order: and (2) a report containing such... | |
| United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1180 páginas
...registration statement or portions thereof, and such copies of reports theretofore filed by the registrant pursuant to section 13 or 15 (d) of the Securities Exchange Act of 1934, as the Commission shall designate by rules and regulations or order; and (2) a report containing such... | |
| 1971 - 660 páginas
...for issuers which file reports with certain other federal agencies. This form may be used for annual reports pursuant to section 13 or 15 (d) of the Securities Exchange Act of 1934 by any issuer which flies annual reports with the Federal Power Commission on that Commission's Form... | |
| 1997 - 734 páginas
...Provided, That the following conditions are met: (1) The registrant flies япгтя.1, quarterly and other reports pursuant to section 13 or 15; d « of the Securities Exchange Act of 1934 and all reports due have been filed; (2) For the most recent fiscal year for which audited financial... | |
| 1967 - 740 páginas
...registration statement is filed, the registrant is required to file periodic reports with the Commission pursuant to section 13 or 15 (d) of the Securities Exchange Act of 1934; or (2) The registrant (1) has net assets of at least $5,000,000 as shown by the latest balance sheet... | |
| 1977 - 958 páginas
...such broker or dealer has in his records a copy of such offering circular; or (3) (i) The issuer Is required to file reports pursuant to section 13 or 15 (d) of the Act, or is the Issuer of a security covered by section 12 (g) (2) (B) or (Q) of the Act, and (ii) The... | |
| 1972 - 552 páginas
...300.221 Procedures required with respect to certain financial information. (a) Each person subject to section 13 or 15 (d) of the Securities Exchange Act of 1934 and each firm that prepares an audited financial statement on an annual basis shall obtain, for its... | |
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