General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1962 |
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Página v
... Filing of material with the Commission ......... . 0-4 . Nondisclosure of information obtained in the course of examinations and investigations .. 0-5 . Reference to rule by obsolete designation ............ 0-6 . Disclosure detrimental ...
... Filing of material with the Commission ......... . 0-4 . Nondisclosure of information obtained in the course of examinations and investigations .. 0-5 . Reference to rule by obsolete designation ............ 0-6 . Disclosure detrimental ...
Página vi
... filed under other Acts .. 22228 26 26 26 26 2286 27 REGULATION 12D1 . EFFECTIVENESS OF REGISTRATION - EXCHANGE CERTIFICATION 12d1-1 . Registration effective as to class or series____ 12d1-2 . Acceleration of effectiveness of ...
... filed under other Acts .. 22228 26 26 26 26 2286 27 REGULATION 12D1 . EFFECTIVENESS OF REGISTRATION - EXCHANGE CERTIFICATION 12d1-1 . Registration effective as to class or series____ 12d1-2 . Acceleration of effectiveness of ...
Página vii
... filed .... 148-7 . Mailing communications for security holders .. 14a - 8 . Proposals of security holders ... FILED CONTENTS VII.
... filed .... 148-7 . Mailing communications for security holders .. 14a - 8 . Proposals of security holders ... FILED CONTENTS VII.
Página viii
... FILED BY OR ON BEHALF OF A Participant ( OTHER THAN THE ISSUER ) IN A PROXY SOLICITATION PURSUANT TO RULE 148-11 ( c ) Rule Item 1. Issuer .. 2. Identity and background .. 3. Interests in securities of the issuer .. 4. Further matters ...
... FILED BY OR ON BEHALF OF A Participant ( OTHER THAN THE ISSUER ) IN A PROXY SOLICITATION PURSUANT TO RULE 148-11 ( c ) Rule Item 1. Issuer .. 2. Identity and background .. 3. Interests in securities of the issuer .. 4. Further matters ...
Página ix
... filed under more than one Act --- . 71 72 73 73 16a - 8 . Ownership of securities held in trust . 16a - 9 . Exemption for small transactions ......... . 168-10 . Exemption from section 16 ( b ) of transactions which need not be reported ...
... filed under more than one Act --- . 71 72 73 73 16a - 8 . Ownership of securities held in trust . 16a - 9 . Exemption for small transactions ......... . 168-10 . Exemption from section 16 ( b ) of transactions which need not be reported ...
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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