General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1962 |
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Página ix
... acquired ......... 222 77 77 77 ARBITRAGE TRANSACTIONS 16d - 1 . Arbitrage transactions under section 16 ............... 78 PRESERVATION OF Records and Reports of Certain Stabilizing Activities 17a - 2 . Reports on stabilizing ...
... acquired ......... 222 77 77 77 ARBITRAGE TRANSACTIONS 16d - 1 . Arbitrage transactions under section 16 ............... 78 PRESERVATION OF Records and Reports of Certain Stabilizing Activities 17a - 2 . Reports on stabilizing ...
Página 7
... acquire an equivalent number of securities of the same class as the securities sold ; provided such sale , or the purchase which such sale offsets , is effected for the bona fide purpose of profiting from a current difference between ...
... acquire an equivalent number of securities of the same class as the securities sold ; provided such sale , or the purchase which such sale offsets , is effected for the bona fide purpose of profiting from a current difference between ...
Página 10
... acquired in stabilizing ) or securities or rights offered as principal by the person making such offer to sell or solicitation ; or ( 7 ) the exercise of any right or conversion privilege to acquire any security ; or ( 8 ) stabiliz- ing ...
... acquired in stabilizing ) or securities or rights offered as principal by the person making such offer to sell or solicitation ; or ( 7 ) the exercise of any right or conversion privilege to acquire any security ; or ( 8 ) stabiliz- ing ...
Página 11
... acquired in connection with the distribution , and any stabilization arrangements and trading restrictions with respect to such dis- tribution to which he is a party have been ter- minated ; ( C ) any other person , when he has ...
... acquired in connection with the distribution , and any stabilization arrangements and trading restrictions with respect to such dis- tribution to which he is a party have been ter- minated ; ( C ) any other person , when he has ...
Página 14
... acquire securities previously sold by such person or such syndicate or group , in connection with the distribution , has not sold the securities which have been or can be acquired through such rights ; pro- vided , however , that the ...
... acquire securities previously sold by such person or such syndicate or group , in connection with the distribution , has not sold the securities which have been or can be acquired through such rights ; pro- vided , however , that the ...
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Términos y frases comunes
action amendment amount annual report application for registration application or report appropriate becomes effective behalf beneficial owner broker or dealer business day cation certificates Commission curities deemed device or contrivance directly or indirectly director or officer distribution document effective date equity security exempt security filed pursuant financial statements fiscal form of proxy furnish hypothecation indebtedness issuer lien listed and registered market value means ment merger or consolidation national securities ex national securities exchange operation of section options otherwise paragraph participant partner period prior promptly proxy statement pursuant to Rule pursuant to section record registration statement reports pursuant restricted stock section 16 Securities Act securities association securities carried security holders sion specified stock option suant subordination agreement subparagraph subsidiary syndicate or group term thereto tion transaction trust unless unlisted trading privileges vote voting trust warrants or rights