General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1956 |
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Página 8
... reasonable grounds to believe that the sale was effected , or will be effected , pur- suant to an order marked " long , " unless such member knows , or has been informed by the seller , ( 1 ) that the security sold has been forwarded to ...
... reasonable grounds to believe that the sale was effected , or will be effected , pur- suant to an order marked " long , " unless such member knows , or has been informed by the seller , ( 1 ) that the security sold has been forwarded to ...
Página 9
... reasonable grounds to believe , at the time he pays or offers or agrees to pay such compensa- tion , that transactions connected with such distri- bution are being carried out in violation of such plan . ( 2 ) For the purposes of this ...
... reasonable grounds to believe , at the time he pays or offers or agrees to pay such compensa- tion , that transactions connected with such distri- bution are being carried out in violation of such plan . ( 2 ) For the purposes of this ...
Página 36
... reasonable time prior to the time the solicitation is made that any such other matters are to be pre- sented for action at the meeting and provided further that a specific statement to that effect is made in the proxy statement or in ...
... reasonable time prior to the time the solicitation is made that any such other matters are to be pre- sented for action at the meeting and provided further that a specific statement to that effect is made in the proxy statement or in ...
Página 37
... reasonable expenses ( 2 ) furnishes promptly to the person solicited opy of all soliciting material with respect to the me subject matter or meeting received from all sons who shall furnish copies thereof for such rpose and who shall ...
... reasonable expenses ( 2 ) furnishes promptly to the person solicited opy of all soliciting material with respect to the me subject matter or meeting received from all sons who shall furnish copies thereof for such rpose and who shall ...
Página 37
... reasonable time prior to the time the solicitation is made that any such other matters are to be pre- sented for action at the meeting and provided further that a specific statement to that effect is made in the proxy statement or in ...
... reasonable time prior to the time the solicitation is made that any such other matters are to be pre- sented for action at the meeting and provided further that a specific statement to that effect is made in the proxy statement or in ...
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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.