General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1962 |
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Página 1
... deemed confidential . Officers and employees are hereby prohibited from mak- ing such confidential information or documents or any other non - public records of the Commission available to anyone other than a member , officer , or ...
... deemed confidential . Officers and employees are hereby prohibited from mak- ing such confidential information or documents or any other non - public records of the Commission available to anyone other than a member , officer , or ...
Página 2
... deemed to be made to the corre- sponding rule or rules in these General Rules and Regulations . Rule 0-6 . Disclosure Detrimental to the Na- tional Security . ( a ) Any requirement to the contrary notwith- standing , no application for ...
... deemed to be made to the corre- sponding rule or rules in these General Rules and Regulations . Rule 0-6 . Disclosure Detrimental to the Na- tional Security . ( a ) Any requirement to the contrary notwith- standing , no application for ...
Página 3
... deemed to be a non- resident if he resides in any place not subject to the jurisdiction of the United States . EXEMPTIONS1 such State or political subdivision or by a board of officers appointed by such State or political sub- division ...
... deemed to be a non- resident if he resides in any place not subject to the jurisdiction of the United States . EXEMPTIONS1 such State or political subdivision or by a board of officers appointed by such State or political sub- division ...
Página 5
... deemed to be violated by reason of an excess arising on any day through the reduction of the aggregate in- debtedness of customers on such day , provided that funds or securities in an amount sufficient to eliminate such excess are paid ...
... deemed to be violated by reason of an excess arising on any day through the reduction of the aggregate in- debtedness of customers on such day , provided that funds or securities in an amount sufficient to eliminate such excess are paid ...
Página 6
... deemed to include any general or special partner or any director or officer of such member , broker or dealer , or any participant , as such , in any joint , group or syndicate account with such member , broker or dealer or with any ...
... deemed to include any general or special partner or any director or officer of such member , broker or dealer , or any participant , as such , in any joint , group or syndicate account with such member , broker or dealer or with any ...
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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