General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1962 |
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Página ix
... Records and Reports of Certain Stabilizing Activities 17a - 2 . Reports on stabilizing activities . 17a - 3 . Records to be made by certain exchange members , brokers and dealers ...... . 17a - 4 . Records to be preserved by certain ...
... Records and Reports of Certain Stabilizing Activities 17a - 2 . Reports on stabilizing activities . 17a - 3 . Records to be made by certain exchange members , brokers and dealers ...... . 17a - 4 . Records to be preserved by certain ...
Página 1
... record , be deemed confidential . Officers and employees are hereby prohibited from mak- ing such confidential information or documents or any other non - public records of the Commission available to anyone other than a member ...
... record , be deemed confidential . Officers and employees are hereby prohibited from mak- ing such confidential information or documents or any other non - public records of the Commission available to anyone other than a member ...
Página 14
... record date for the rights or acquired through the exercise of rights issued in respect of securities 30 owned . ( d ) The conditions of subparagraphs ( A ) through ( G ) of this paragraph ( d ) shall apply to all bids for and purchases ...
... record date for the rights or acquired through the exercise of rights issued in respect of securities 30 owned . ( d ) The conditions of subparagraphs ( A ) through ( G ) of this paragraph ( d ) shall apply to all bids for and purchases ...
Página 20
... recording of charter amendments or other documents with the appropriate state authorities , has been taken to authorize and assure the issuance of the security which is the subject of such exemption . ( b ) The exemption provided by ...
... recording of charter amendments or other documents with the appropriate state authorities , has been taken to authorize and assure the issuance of the security which is the subject of such exemption . ( b ) The exemption provided by ...
Página 24
... record . Irrespective of the process used , all copies of any such material shall be clear , easily readable and suitable for repeated photocopying . Debits in credit categories and credits in debit categories shall be designated so as ...
... record . Irrespective of the process used , all copies of any such material shall be clear , easily readable and suitable for repeated photocopying . Debits in credit categories and credits in debit categories shall be designated so as ...
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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