General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1962 |
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Página v
... officer " . 3b - 3 . Definition of " short sale " . REGISTRATION AND EXEMPTION OF EXCHANGES 222 6a - 1 . Form of application and amendments .... 6a - 2 . Annual amendments to registration statement or exemption statements of exchanges ...
... officer " . 3b - 3 . Definition of " short sale " . REGISTRATION AND EXEMPTION OF EXCHANGES 222 6a - 1 . Form of application and amendments .... 6a - 2 . Annual amendments to registration statement or exemption statements of exchanges ...
Página viii
... to registration statements of securities associations . 15a12-1 . Proceedings under section 15A ( l ) ( 2 ) of the Act ......... .. 68 68 69 70 70 REPORTS OF DIRECTORS , OFFICERS , AND PRINCIPAL STOCKHOLDERS Rule VIII CONTENTS.
... to registration statements of securities associations . 15a12-1 . Proceedings under section 15A ( l ) ( 2 ) of the Act ......... .. 68 68 69 70 70 REPORTS OF DIRECTORS , OFFICERS , AND PRINCIPAL STOCKHOLDERS Rule VIII CONTENTS.
Página ix
United States. Securities and Exchange Commission. REPORTS OF DIRECTORS , OFFICERS , AND PRINCIPAL STOCKHOLDERS Rule Page 16a - 1 . Filing of statements .. 70 16a - 2 . Ownership of more than 10 per cent of an equity security . 71 16a ...
United States. Securities and Exchange Commission. REPORTS OF DIRECTORS , OFFICERS , AND PRINCIPAL STOCKHOLDERS Rule Page 16a - 1 . Filing of statements .. 70 16a - 2 . Ownership of more than 10 per cent of an equity security . 71 16a ...
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... officer , or employee of the Commission , unless the Commis- sion authorizes the disclosure of such information or the production of such documents as not being contrary to the public interest . Any officer or em- ployee who is served ...
... officer , or employee of the Commission , unless the Commis- sion authorizes the disclosure of such information or the production of such documents as not being contrary to the public interest . Any officer or em- ployee who is served ...
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... officers appointed by such State or political sub- division . ( b ) The exemption provided by this rule shall be available to such security only so long as the conditions specified in paragraph ( a ) are satisfied or during the ...
... officers appointed by such State or political sub- division . ( b ) The exemption provided by this rule shall be available to such security only so long as the conditions specified in paragraph ( a ) are satisfied or during 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