General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1962 |
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Página 4
... Prior to June 30 of each year each exchange reg- istered as a national securities exchange or ex- empted from such registration shall file an annual amendment setting forth : ( a ) All changes , and the effective dates there- * of ...
... Prior to June 30 of each year each exchange reg- istered as a national securities exchange or ex- empted from such registration shall file an annual amendment setting forth : ( a ) All changes , and the effective dates there- * of ...
Página 7
... prior to the time of each such hypothe- cation , he gives written notice to the pledgee that the security pledged is carried for the account of a customer and that such hypothecation does not contravene any provision of this rule ...
... prior to the time of each such hypothe- cation , he gives written notice to the pledgee that the security pledged is carried for the account of a customer and that such hypothecation does not contravene any provision of this rule ...
Página 8
... prior to such loan , arrangement , or failure to deliver , the exchange upon which the sale requiring the delivery of such security was effected finds ( i ) that such sale re- sulted from a mistake made in good faith , ( ii ) that due ...
... prior to such loan , arrangement , or failure to deliver , the exchange upon which the sale requiring the delivery of such security was effected finds ( i ) that such sale re- sulted from a mistake made in good faith , ( ii ) that due ...
Página 10
... prior to the proposed com- mencement of such distribution ( or 5 or more business days in the case of unsolicited purchases ) , if none of such purchases or bids are for the pur- pose of creating actual , or apparent , active trad- ing ...
... prior to the proposed com- mencement of such distribution ( or 5 or more business days in the case of unsolicited purchases ) , if none of such purchases or bids are for the pur- pose of creating actual , or apparent , active trad- ing ...
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... Prior to Opening . No person shall place a stabi- lizing bid on a securities exchange prior to the time the opening quotations for the security on such exchange are available , unless he has been and is lawfully stabilizing such ...
... Prior to Opening . No person shall place a stabi- lizing bid on a securities exchange prior to the time the opening quotations for the security on such exchange are available , unless he has been and is lawfully stabilizing such ...
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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