General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1956 |
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Página viii
... ASSOCIATIONS § 240.15aa - 1 . Registration of a national or an affiliated securities association__ . § 240.15ab - 1 . Relief from statutory disqualifications .... § 240.15ag - 1 . Application pursuant to section 15A ( g ) of the Act for ...
... ASSOCIATIONS § 240.15aa - 1 . Registration of a national or an affiliated securities association__ . § 240.15ab - 1 . Relief from statutory disqualifications .... § 240.15ag - 1 . Application pursuant to section 15A ( g ) of the Act for ...
Página 3
... association which is not a partnership . ( 3 ) The term " non - resident investment adviser " shall mean ( A ) in the case of an individual , one who resides in or has his principal place of busi- ness in any place not subject to the ...
... association which is not a partnership . ( 3 ) The term " non - resident investment adviser " shall mean ( A ) in the case of an individual , one who resides in or has his principal place of busi- ness in any place not subject to the ...
Página 6
... association , of a national securities excha for a loan made and to be repaid on the same : endar day , which is incidental to the clearing transactions in securities or loans through such poration , department , or association , provic ...
... association , of a national securities excha for a loan made and to be repaid on the same : endar day , which is incidental to the clearing transactions in securities or loans through such poration , department , or association , provic ...
Página 54
... association which is not a partnership . ( 4 ) The term " non - resident broker or dealer " shall mean ( A ) in the case of an individual , one who resides in or has his principal place of business in any place not subject to the ...
... association which is not a partnership . ( 4 ) The term " non - resident broker or dealer " shall mean ( A ) in the case of an individual , one who resides in or has his principal place of business in any place not subject to the ...
Página 55
... association or ational securities exchange pursuant to section 5A ( 1 ) ( 2 ) or section 19 ( a ) ( 3 ) of the Act , he Commission may determine and announce or purposes of section 15A ( b ) ( 4 ) of the Act whether any person ...
... association or ational securities exchange pursuant to section 5A ( 1 ) ( 2 ) or section 19 ( a ) ( 3 ) of the Act , he Commission may determine and announce or purposes of section 15A ( b ) ( 4 ) of the Act whether any person ...
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Términos y frases comunes
amendment amount annual report application for registration application or report appropriate arbitrage becomes effective behalf beneficial owner broker or dealer cation certificate Commission confidential portion copies curities deemed device or contrivance directly or indirectly director distribution document effective date equity security exempted security Exemption from section filed pursuant financial statements fiscal form of proxy furnished hearing hypothecation Investment Company issuer lien listed and registered means ment national securities ex national securities exchange officer operation of section otherwise paragraph participant period prior promptly proxy statement pursuant to section record registration statement reports pursuant respect rules and regulations section 12 Securities Act securities association securities carried Securities Exchange Act security holders service of process sion specified suant subparagraph subsidiary syndicate or group term thereof thereto thereunder tion transactions unless unlisted trading privileges vote voting trust
Pasajes populares
Página 9 - ... (1) to employ any device, scheme, or artifice to defraud, "(2) to make any untrue statement of a material fact or to omit 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...
Página vii - To make any untrue statement of a material fact or to omit 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 (c) To engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security.
Página 2 - ... before the Commission, the court may order such additional evidence to be taken before the Commission and to be adduced upon the hearing in such manner and upon such terms and conditions as to the court may seem proper. The Commission may modify its findings as to the facts...
Página 81 - No broker or dealer shall make use of the mails or of any means or instrumentality of interstate commerce to effect any transaction in, or to induce or attempt to induce the purchase or sale of, any security (other than an exempted security or commercial paper, bankers...
Página 39 - No solicitation subject to this regulation shall be made by means of any proxy statement, form of proxy, notice of meeting, or other communication, written or oral, containing any statement which, at the time and in the light of the circumstances under which it is made, is false or misleading with respect to any material fact, or which...
Página 19 - ... the beneficial owner of 10 percent or more of any class of equity securities, (2) any trust or other estate in which such person has a substantial beneficial interest or as to which such person serves as trustee or in a similar fiduciary capacity, and (3) any relative or spouse of such person, or any relative of such spouse, who has the same home as such person or who is a director or officer of the registrant or any of its parents or subsidiaries.
Página 42 - Your present principal occupation or employment and the name, principal business, and address of any corporation or other organization in which such employment is carried on.