General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1962 |
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Página v
... persons interested in a distribution ... 10b - 7 . Stabilizing to facilitate a distribution . 10b - 8 . Distributions through rights .... 5 5 78 8 8 9 9 10 11 14 Rule EXEMPTION OF CERTAIN SECURITIES FROM SECTION 11 ( d.
... persons interested in a distribution ... 10b - 7 . Stabilizing to facilitate a distribution . 10b - 8 . Distributions through rights .... 5 5 78 8 8 9 9 10 11 14 Rule EXEMPTION OF CERTAIN SECURITIES FROM SECTION 11 ( d.
Página vi
... person not the original issuer of such security - Pro- hibition of use of manipulative or deceptive devices or contrivances with respect thereto .---- 12a - 3 . Temporary exemption from section 12 ( a ) of certain securities of issuers ...
... person not the original issuer of such security - Pro- hibition of use of manipulative or deceptive devices or contrivances with respect thereto .---- 12a - 3 . Temporary exemption from section 12 ( a ) of certain securities of issuers ...
Página vii
... Persons making the solicitation____ 44 5. Voting securities and principal holders thereof .... 4. Interest of certain persons in matters to be acted upon .. 6. Nominees and directors___ . 7. Remuneration and other transactions with ...
... Persons making the solicitation____ 44 5. Voting securities and principal holders thereof .... 4. Interest of certain persons in matters to be acted upon .. 6. Nominees and directors___ . 7. Remuneration and other transactions with ...
Página 3
... person as the Commission may authorize to act in its behalf . Whenever any process , pleadings or other papers as aforesaid are served upon the Commission , it shall promptly for- ward a copy thereof by registered mail to the ap ...
... person as the Commission may authorize to act in its behalf . Whenever any process , pleadings or other papers as aforesaid are served upon the Commission , it shall promptly for- ward a copy thereof by registered mail to the ap ...
Página 4
... person who performs for an issuer , whether incorporated or unincorporated , functions cor- responding to those performed by the foregoing officers . Rule 3b - 3 . Definition of " Short Sale . " The term " short sale " means any sale of ...
... person who performs for an issuer , whether incorporated or unincorporated , functions cor- responding to those performed by the foregoing officers . Rule 3b - 3 . Definition of " Short Sale . " The term " short sale " means any sale of ...
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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