General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1962 |
Dentro del libro
Resultados 1-5 de 36
Página v
... registration statement or exemption statements of exchanges .... 6a - 3 . Supplemental material_ EXEMPTION OF ... registration or admitted to trading on exchanges exempted from registration .... HYPOTHECATION OF CUSTOMERS ' SECURITIES 8c ...
... registration statement or exemption statements of exchanges .... 6a - 3 . Supplemental material_ EXEMPTION OF ... registration or admitted to trading on exchanges exempted from registration .... HYPOTHECATION OF CUSTOMERS ' SECURITIES 8c ...
Página vi
... registration statement under Securities Act of 1933 .. 12b - 36 . Use of financial statements filed under other Acts .. 22228 26 26 26 26 2286 27 REGULATION 12D1 . EFFECTIVENESS OF REGISTRATION - EXCHANGE CERTIFICATION 12d1-1 . Registration ...
... registration statement under Securities Act of 1933 .. 12b - 36 . Use of financial statements filed under other Acts .. 22228 26 26 26 26 2286 27 REGULATION 12D1 . EFFECTIVENESS OF REGISTRATION - EXCHANGE CERTIFICATION 12d1-1 . Registration ...
Página vii
... REGISTRATION 12d2-1 . Suspension of trading , withdrawal , and striking from ... statement ... 14a - 6 . Material required to be filed .... 148-7 . Mailing ... STATEMENT Item 1. Revocability of proxy_- 44 2. Dissenters ' rights of ...
... REGISTRATION 12d2-1 . Suspension of trading , withdrawal , and striking from ... statement ... 14a - 6 . Material required to be filed .... 148-7 . Mailing ... STATEMENT Item 1. Revocability of proxy_- 44 2. Dissenters ' rights of ...
Página viii
... REGISTRATION OF BROKERS AND DEALERS 15b - 1 . Application for registration of broker or dealer ............ 15b - 2 ... Statement of financial condition to be filed with application for registration as a broker or dealer ......... 15b ...
... REGISTRATION OF BROKERS AND DEALERS 15b - 1 . Application for registration of broker or dealer ............ 15b - 2 ... Statement of financial condition to be filed with application for registration as a broker or dealer ......... 15b ...
Página 2
... registration , report , proxy statement or other document filed with the Commission or any securities exchange shall con- tain any document or information that has been classified or determined by an appropriate depart- ment or agency ...
... registration , report , proxy statement or other document filed with the Commission or any securities exchange shall con- tain any document or information that has been classified or determined by an appropriate depart- ment or agency ...
Otras ediciones - Ver todas
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