General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1962 |
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Página v
United States. Securities and Exchange Commission. Page 1 1 1 1 Rule GENERAL ... national security .... 0-7 . Consent to service of process by non - resident ... exchange to facilitate a distribution of securities . 10b - 3 . Employment of ...
United States. Securities and Exchange Commission. Page 1 1 1 1 Rule GENERAL ... national security .... 0-7 . Consent to service of process by non - resident ... exchange to facilitate a distribution of securities . 10b - 3 . Employment of ...
Página viii
United States. Securities and Exchange Commission. SCHEDULE 14B . INFORMATION TO BE INcluded in Statements FILED BY ... national securities exchange . 15c2-3 . Prohibiting trading in German securities unless validated ...... . 15c2-4 ...
United States. Securities and Exchange Commission. SCHEDULE 14B . INFORMATION TO BE INcluded in Statements FILED BY ... national securities exchange . 15c2-3 . Prohibiting trading in German securities unless validated ...... . 15c2-4 ...
Página ix
United States. Securities and Exchange Commission. REPORTS OF DIRECTORS , OFFICERS , AND PRINCIPAL STOCKHOLDERS Rule ... National Securities Exchange to destroy or dispose of applications , reports and documents filed with it pursuant to ...
United States. Securities and Exchange Commission. REPORTS OF DIRECTORS , OFFICERS , AND PRINCIPAL STOCKHOLDERS Rule ... National Securities Exchange to destroy or dispose of applications , reports and documents filed with it pursuant to ...
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... securities exchange shall con- tain any document or information that has been classified or determined by an appropriate depart- ment or agency of the United States to require pro- tection in the interests of national defense . ( b ) ...
... securities exchange shall con- tain any document or information that has been classified or determined by an appropriate depart- ment or agency of the United States to require pro- tection in the interests of national defense . ( b ) ...
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... national securities exchange , or for ex- emption from such registration , shall be made in duplicate on Form 1 , each of which shall be ac- companied by the statement and exhibits pre- scribed to be ... SECURITIES AND EXCHANGE COMMISSION.
... national securities exchange , or for ex- emption from such registration , shall be made in duplicate on Form 1 , each of which shall be ac- companied by the statement and exhibits pre- scribed to be ... SECURITIES AND EXCHANGE COMMISSION.
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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