General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1956 |
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Página 6
... promptly as practicable ; ( iii ) securities sold , but not appropriated , by such member , broker or dealer to a customer who has made any payment therefor , to the extent that such member , broker or dealer owns and has re- ceived ...
... promptly as practicable ; ( iii ) securities sold , but not appropriated , by such member , broker or dealer to a customer who has made any payment therefor , to the extent that such member , broker or dealer owns and has re- ceived ...
Página 28
... promptly of any change in the reasons for the suspension . Upon the restoration to trading of any security suspended under this section , the ex- change shall notify the Commission promptly of the effective date thereof . ( 3 ) ...
... promptly of any change in the reasons for the suspension . Upon the restoration to trading of any security suspended under this section , the ex- change shall notify the Commission promptly of the effective date thereof . ( 3 ) ...
Página 30
... promptly after learning thereof , except that such notification need not be filed if such se- curity is also listed and registered on another national securities exchange . ( b ) Any security admitted to unlisted trading privileges on a ...
... promptly after learning thereof , except that such notification need not be filed if such se- curity is also listed and registered on another national securities exchange . ( b ) Any security admitted to unlisted trading privileges on a ...
Página 33
... promptly of any change in the reasons for the suspension . Upon the restoration to trading of any security suspended under this section , the ex- change shall notify the Commission promptly of the effective date thereof . ( 3 ) ...
... promptly of any change in the reasons for the suspension . Upon the restoration to trading of any security suspended under this section , the ex- change shall notify the Commission promptly of the effective date thereof . ( 3 ) ...
Página 37
... promptly after learning thereof , except that such notification need not be filed if such se- curity is also listed and registered on another national securities exchange . ( b ) Any security admitted to unlisted trading privileges on a ...
... promptly after learning thereof , except that such notification need not be filed if such se- curity is also listed and registered on another national securities exchange . ( b ) Any security admitted to unlisted trading privileges on a ...
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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.