General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1956 |
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Página 6
... payment therefor , to the extent that such member , broker or dealer owns and has re- ceived delivery of securities of like kind , except that if such securities were subject to a lien when such payment was made they shall not be deemed ...
... payment therefor , to the extent that such member , broker or dealer owns and has re- ceived delivery of securities of like kind , except that if such securities were subject to a lien when such payment was made they shall not be deemed ...
Página 8
... Pay or offer or agree to pay , directly or directly , to any person any compensation f soliciting another to purchase any security of t same issuer on a national securities exchange , for purchasing any security of the same issuer any ...
... Pay or offer or agree to pay , directly or directly , to any person any compensation f soliciting another to purchase any security of t same issuer on a national securities exchange , for purchasing any security of the same issuer any ...
Página 9
... payment of such compensa- ion in connection with a distribution of securities , which plan has been filed with the ... pay such compensa- tion , that transactions connected with such distri- bution are being carried out in violation of ...
... payment of such compensa- ion in connection with a distribution of securities , which plan has been filed with the ... pay such compensa- tion , that transactions connected with such distri- bution are being carried out in violation of ...
Página 22
... payment of principal or interes is contingent , an appropriate indication of such contingency ; a brief indication of the priority of the issue ; and if convertible , a statement to 22 SECURITIES AND EXCHANGE COMMISSION.
... payment of principal or interes is contingent , an appropriate indication of such contingency ; a brief indication of the priority of the issue ; and if convertible , a statement to 22 SECURITIES AND EXCHANGE COMMISSION.
Página 29
... payment of all such securities ve been deposited with an agency authorized to ake such payments ; and such funds have been ade available to security holders . ( 2 ) The entire class of the security has been re- emed or paid at maturity ...
... payment of all such securities ve been deposited with an agency authorized to ake such payments ; and such funds have been ade available to security holders . ( 2 ) The entire class of the security has been re- emed or paid at maturity ...
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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.