General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1962 |
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Página viii
... received in connection with underwritings .. 15c3-1 . Ratio of aggregate indebtedness to net capital ............... 54 54 55 55 55 55 5555 55 57 57 58 58 58 58 59 59 59 59 59 60 61 61 62 62 REGULATION 15D . REPORTS OF REGISTRants Under ...
... received in connection with underwritings .. 15c3-1 . Ratio of aggregate indebtedness to net capital ............... 54 54 55 55 55 55 5555 55 57 57 58 58 58 58 59 59 59 59 59 60 61 61 62 62 REGULATION 15D . REPORTS OF REGISTRants Under ...
Página ix
... received by redeeming other securities .... 16b - 6 . Exemption of long - term profits incident to sales within 6 ... received upon surrender of similar equity securities ... 76 EXEMPTION OF CERTAIN SECURITIES FROM SECTION 16 ( c ) 160-1 ...
... received by redeeming other securities .... 16b - 6 . Exemption of long - term profits incident to sales within 6 ... received upon surrender of similar equity securities ... 76 EXEMPTION OF CERTAIN SECURITIES FROM SECTION 16 ( c ) 160-1 ...
Página 1
... received by the Commission shall be the date of filing thereof if all of the requirements with re- spect to the filing have been complied with . Rule 0-4 . Nondisclosure of Information Ob- tained in the Course of Examinations and ...
... received by the Commission shall be the date of filing thereof if all of the requirements with re- spect to the filing have been complied with . Rule 0-4 . Nondisclosure of Information Ob- tained in the Course of Examinations and ...
Página 6
... received by or on behalf of such member , broker or dealer for the account of any customer ; ( ii ) securities sold and appropriated by such member , broker or dealer to a customer , except that if such securities were subject to a lien ...
... received by or on behalf of such member , broker or dealer for the account of any customer ; ( ii ) securities sold and appropriated by such member , broker or dealer to a customer , except that if such securities were subject to a lien ...
Página 8
... received , has reasonable grounds to believe that an offer enabling him to cover such sale is then available to him in such foreign securities market and in- tends to accept such offer immediately ; or ( 9 ) Any sale of a security on a ...
... received , has reasonable grounds to believe that an offer enabling him to cover such sale is then available to him in such foreign securities market and in- tends to accept such offer immediately ; or ( 9 ) Any sale of a security on a ...
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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