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acquired action admitted aggregate amendment amount annual reports application for registration appropriate association authorized bank bankruptcy become broker or dealer certificates close Commission companies contain continue copies corporation cover dealing deemed described determined directly or indirectly director document effect equity security exempted exhibits filed fiscal foreign furnished given granted holders hypothecation interest Investment issued issuer lien listed loan material matter means ment national securities exchange notice offering officer operation of section original otherwise paragraph participation period person portion prescribed prior promptly purchase pursuant to section reason received record reference registration statement regulation relating respect rule schedules section 12 securities carried solicitation specified stabilizing subsidiary substantial supplement term termination thereof thereto tion transaction unissued security unless unlisted trading privileges warrant written
Página 5 - In cases where financial statements filed with this commission pursuant to its rules and regulations under the securities act of 1933 or the securities exchange act of 1934...
Página 10 - 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...
Página 1197 - ... (a) to employ any device, scheme or artifice to defraud, (b) 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...
Página 1207 - Act, except to such extent and subject to such terms and conditions as the Commission, having due regard for the public interest and the protection of investors, may prescribe by rules or regulations with respect to any class of persons, securities, or transactions...
Página 25 - manipulative, deceptive, or other fraudulent device or contrivance," as used in section 15 (c) (1) of the act, is hereby defined to include any act of any broker or dealer...
Página 1185 - ... amount sufficient to eliminate such excess are paid or placed in transfer to pledgees for the purpose of reducing the sum of the liens or claims to which securities carried for the account of customers are...