General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1965 |
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Página ix
... received in connection with underwritings__ . 15c2-5 . Disclosure and other requirements when extending or arranging credit in certain transactions . 15c2-7 . Identification of quotations .. 15c3-1 . Net capital requirements for brokers ...
... received in connection with underwritings__ . 15c2-5 . Disclosure and other requirements when extending or arranging credit in certain transactions . 15c2-7 . Identification of quotations .. 15c3-1 . Net capital requirements for brokers ...
Página xi
... received by the Commission shall be the date of filing thereof if all of the requirements with re- spect to the filing have been complied with . Rule 04. Nondisclosure of Information Ob- tained in the Course of Examinations and ...
... received by the Commission shall be the date of filing thereof if all of the requirements with re- spect to the filing have been complied with . Rule 04. Nondisclosure of Information Ob- tained in the Course of Examinations and ...
Página xvi
... received by or on behalf of s member , broker or dealer for the account of £ customer ; ( ii ) securities sold and appropriated by s member , broker or dealer to a customer , exe that if such securities were subject to a lien w ...
... received by or on behalf of s member , broker or dealer for the account of £ customer ; ( ii ) securities sold and appropriated by s member , broker or dealer to a customer , exe that if such securities were subject to a lien w ...
Página 2
... received , has reasonable grounds to believe that an offer enabling him to cover such sale is then available to him in such foreign securities market and in- tends to accept such offer immediately ; or ( 9 ) Any sale of a security on a ...
... received , has reasonable grounds to believe that an offer enabling him to cover such sale is then available to him in such foreign securities market and in- tends to accept such offer immediately ; or ( 9 ) Any sale of a security on a ...
Página 17
... received by him by a specified date ; or ( 2 ) to the effect that the security is being offered or sold on any other basis whereby all or part of the consideration paid for any such security will be refunded to the purchaser if all or ...
... received by him by a specified date ; or ( 2 ) to the effect that the security is being offered or sold on any other basis whereby all or part of the consideration paid for any such security will be refunded to the purchaser if all or ...
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Términos y frases comunes
Amended Feb amount annual report application for registration appropriate becomes effective behalf broker or dealer cation certificate certificates of deposit Commission curities deceptive device deemed device or contrivance directly or indirectly director or officer distribution document effective date employees equity security exempt security exhibits filed pursuant financial statements fiscal form of proxy hypothecation incorporated by reference interest investment adviser Investment Company issuer listing and registration loan means ment national securities ex national securities exchange omitted operation of section otherwise paragraph participant period power of attorney prior promptly Provided proxy statement pursuant to Rule pursuant to section regis registration statement Release report filed reports pursuant rity section 12 secu securities carried security holders specified stabilizing bid statement or report suant subparagraph subsidiary term thereto tion transaction trust unless unlisted trading privileges vote voting trust warrants or rights
Pasajes populares
Página 7 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange...
Página 25 - That the issuer may rely in good faith on such information as is received in response to its request from a nonaffiliated issuer of the certificates or evidences of interest. (2) Whole or fractional securities issued by a savings and loan association...
Página 18 - ... 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. Certified. The term "certified...
Página 18 - Control" (including the terms "controlling", "controlled by", and "under common control with") means the possession, directly or indirectly, of the power to direct or cause the direction of the management and policies of a...
Página 22 - Information required need be given only insofar as it is known or reasonably available to the registrant. If any required information is unknown and not reasonably available to the registrant, either because the obtaining thereof would involve unreasonable effort or expense, or because it rests peculiarly within the knowledge of another person not affiliated with the registrant, the information may be omitted subject to the following conditions: a.
Página 51 - The term manipulative, deceptive, or other fraudulent device or contrivance, as used in section 15(c)(l) of the Act, is hereby defined to include any untrue statement of a material fact and any omission to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they are made, not misleading, which statement or omission is made with knowledge or reasonable grounds to believe that it is untrue or misleading. (c) The scope of this section shall...
Página 18 - affiliate' of, or a person 'affiliated' with, a specified person, is a person that directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with, the person specified. "(f) Control. The term 'control' (including the terms 'controlling,
Página 18 - associate" used to indicate a relationship with any person, means (1) any corporation or organization (other than the registrant or a majority-owned subsidiary of the registrant) of which such person is an officer or partner or is, directly or indirectly, 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,...
Página 24 - The following statement and list of contents shall be set forth on the first page of the application immediately following the facing page thereof: This application is...
Página 48 - Secretary shall be taken and held in all Courts to be as valid and binding as if due service had been made upon said applicant in the State of Kentucky.