General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1962 |
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Página v
... respect to certain securi- ties exempted from registration ... 10b - 2 . Solicitation of purchases on an exchange to facilitate a distribution of securities . 10b - 3 . Employment of manipulative and deceptive devices .. 10b - 5 ...
... respect to certain securi- ties exempted from registration ... 10b - 2 . Solicitation of purchases on an exchange to facilitate a distribution of securities . 10b - 3 . Employment of manipulative and deceptive devices .. 10b - 5 ...
Página vi
... respect thereto .---- 12a - 3 . Temporary exemption from section 12 ( a ) of certain securities of issuers in bankruptcy or receiver- ship or in process of reorganization - Prohibition of use of manipulative or deceptive devices or ...
... respect thereto .---- 12a - 3 . Temporary exemption from section 12 ( a ) of certain securities of issuers in bankruptcy or receiver- ship or in process of reorganization - Prohibition of use of manipulative or deceptive devices or ...
Página vii
... respect to reports ... 19. Matters not required to be submitted ... 20. Amendment of charter , by - laws or other documents .. 21. Other proposed action .. 49 50 50 51 51 52 52 52 52 52 52 SCHEDULE 14B . INFORMATION TO BE INcluded in ...
... respect to reports ... 19. Matters not required to be submitted ... 20. Amendment of charter , by - laws or other documents .. 21. Other proposed action .. 49 50 50 51 51 52 52 52 52 52 52 SCHEDULE 14B . INFORMATION TO BE INcluded in ...
Página 1
... respect- fully decline to disclose the information or pro- duce the documents called for , basing his refusal upon this rule . Any officer or employee who is served with such a subpoena shall promptly advise the Commission of the ...
... respect- fully decline to disclose the information or pro- duce the documents called for , basing his refusal upon this rule . Any officer or employee who is served with such a subpoena shall promptly advise the Commission of the ...
Página 5
... respect of securities carried for their accounts ; except that this clause shall not be deemed to be violated by reason of an excess arising on any day through the reduction of the aggregate in- debtedness of customers on such day ...
... respect of securities carried for their accounts ; except that this clause shall not be deemed to be violated by reason of an excess arising on any day through the reduction of the aggregate in- debtedness of customers on such day ...
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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