General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1962 |
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Página 3
... on form 18 , 19 , 20 , or 21 is authorized shall be exempt from the operation of sections 14 ( a ) and 16 . promptly as practicable after such reduction occurs , but before GENERAL RULES AND REGULATIONS SECURITIES EXCHANGE ACT OF 1934 3.
... on form 18 , 19 , 20 , or 21 is authorized shall be exempt from the operation of sections 14 ( a ) and 16 . promptly as practicable after such reduction occurs , but before GENERAL RULES AND REGULATIONS SECURITIES EXCHANGE ACT OF 1934 3.
Página 4
... practicable date within one month of the date on which the amendment is filed . In the event that no changes have occurred in any of this material during the period covered by the amendment , a statement to that effect shall be set ...
... practicable date within one month of the date on which the amendment is filed . In the event that no changes have occurred in any of this material during the period covered by the amendment , a statement to that effect shall be set ...
Página 6
... practicable ; ( iii ) securities sold , but not appropriated , by such member , broker or dealer to a customer who has made any payment therefor , to the extent that such member , broker or dealer owns and has re- ceived delivery of ...
... practicable ; ( iii ) securities sold , but not appropriated , by such member , broker or dealer to a customer who has made any payment therefor , to the extent that such member , broker or dealer owns and has re- ceived delivery of ...
Página 24
... practicable . However , tables , charts , maps and financial statements may be on larger paper if folded to that size . ( b ) The application or report and , insofar as practicable , all papers and documents filed as a part thereof ...
... practicable . However , tables , charts , maps and financial statements may be on larger paper if folded to that size . ( b ) The application or report and , insofar as practicable , all papers and documents filed as a part thereof ...
Página 26
... practicable date . ( b ) If the registrant has no securities listed and registered on the particular exchange , the ap- plication shall also include as exhibits the annual , semi - annual and current reports which would have been ...
... practicable date . ( b ) If the registrant has no securities listed and registered on the particular exchange , the ap- plication shall also include as exhibits the annual , semi - annual and current reports which would have been ...
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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