General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1962 |
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... paragraph ( a ) hereof , there shall be filed , in lieu of such document , a statement from an appropri- ate department or agency of the United States to the effect that such document has been classified or that the status of such ...
... paragraph ( a ) hereof , there shall be filed , in lieu of such document , a statement from an appropri- ate department or agency of the United States to the effect that such document has been classified or that the status of such ...
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... paragraph ( a ) are satisfied or during the subsequent dissolution of the issuer of any security so exempted . Rule 3a12-3 . Exemption From Sections 14 ( a ) and 16 of Securities for Which Filing of Ap- plications on Form 18 , 19 , 20 ...
... paragraph ( a ) are satisfied or during the subsequent dissolution of the issuer of any security so exempted . Rule 3a12-3 . Exemption From Sections 14 ( a ) and 16 of Securities for Which Filing of Ap- plications on Form 18 , 19 , 20 ...
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... paragraph ( a ) ( 1 ) hereof shall not apply to any hypothecation of securities carried for the account of a customer in a special cash account within the meaning of section 4 ( c ) of Regulation T of the Board of Governors of the ...
... paragraph ( a ) ( 1 ) hereof shall not apply to any hypothecation of securities carried for the account of a customer in a special cash account within the meaning of section 4 ( c ) of Regulation T of the Board of Governors of the ...
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... paragraph ( a ) hereof shall not apply to- ( 1 ) Any sale by any person , for an account in which he has an interest , if such person owns the security sold and intends to deliver such security as soon as is possible without undue ...
... paragraph ( a ) hereof shall not apply to- ( 1 ) Any sale by any person , for an account in which he has an interest , if such person owns the security sold and intends to deliver such security as soon as is possible without undue ...
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... paragraph ( d ) of Rule 10b - 2 . For the purpose of clause ( 8 ) hereof a depositary receipt for a security shall be deemed to be the same security as the security represented by such receipt . Rule 10a - 2 . Requirements for Covering ...
... paragraph ( d ) of Rule 10b - 2 . For the purpose of clause ( 8 ) hereof a depositary receipt for a security shall be deemed to be the same security as the security represented by such receipt . Rule 10a - 2 . Requirements for Covering ...
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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