General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1962 |
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Página viii
... ASSOCIATIONS 15aa - 1 . Registration of a national or an affiliated securities association ... 15ab - 1 . Relief from statutory disqualifications ............ . 888555 66 66 66 67 67 67 15ag - 1 . Application pursuant to section 15A ( g ) ...
... ASSOCIATIONS 15aa - 1 . Registration of a national or an affiliated securities association ... 15ab - 1 . Relief from statutory disqualifications ............ . 888555 66 66 66 67 67 67 15ag - 1 . Application pursuant to section 15A ( g ) ...
Página 3
... association which is not a partnership . ( 3 ) The term " non - resident investment adviser " shall mean ( A ) in the case of an individual , one who resides in or has his principal place of busi- ness in any place not subject to the ...
... association which is not a partnership . ( 3 ) The term " non - resident investment adviser " shall mean ( A ) in the case of an individual , one who resides in or has his principal place of busi- ness in any place not subject to the ...
Página 6
... association , of a national securities exchange , for a loan made and to be repaid on the same cal- endar day , which is incidental to the clearing of transactions in securities or loans through such cor- poration , department , or ...
... association , of a national securities exchange , for a loan made and to be repaid on the same cal- endar day , which is incidental to the clearing of transactions in securities or loans through such cor- poration , department , or ...
Página 21
... association or partnership , or any similar instru- ment , as amended , effecting ( either with or with- out filing with any governmental agency ) the organization or creation of an incorporated or unincorporated person . Control . The ...
... association or partnership , or any similar instru- ment , as amended , effecting ( either with or with- out filing with any governmental agency ) the organization or creation of an incorporated or unincorporated person . Control . The ...
Página 56
... association which is not a partnership . ( 4 ) The term " non - resident broker or dealer " shall mean ( A ) in the case of an individual , one who resides in or has his principal place of business in any place not subject to the ...
... association which is not a partnership . ( 4 ) The term " non - resident broker or dealer " shall mean ( A ) in the case of an individual , one who resides in or has his principal place of business in any place not subject to 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