General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1962 |
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Página v
... Solicitation of purchases on an exchange to facilitate a distribution of securities . 10b - 3 . Employment of manipulative and deceptive devices .. 10b - 5 . Employment of manipulative and deceptive devices .. 10b - 6 . Prohibitions ...
... Solicitation of purchases on an exchange to facilitate a distribution of securities . 10b - 3 . Employment of manipulative and deceptive devices .. 10b - 5 . Employment of manipulative and deceptive devices .. 10b - 6 . Prohibitions ...
Página vii
... SOLICITATION OF PROXIES 14a - 1 . Definitions ...... . 35 14a - 2 . Solicitations to which rules apply ----- 14a - 3 . Information to be furnished security holders .. 36 36 14a - 4 . Requirements as to proxy- 14a - 5 . Presentation of ...
... SOLICITATION OF PROXIES 14a - 1 . Definitions ...... . 35 14a - 2 . Solicitations to which rules apply ----- 14a - 3 . Information to be furnished security holders .. 36 36 14a - 4 . Requirements as to proxy- 14a - 5 . Presentation of ...
Página viii
... SOLICITATION PURSUANT TO RULE 148-11 ( c ) Rule Item 1. Issuer .. 2. Identity and background .. 3. Interests in securities of the issuer .. 4. Further matters .. 5. Signature .... EXEMPTION OF Certain SECURITIES FROM SECTION 15 ( 8 ) ...
... SOLICITATION PURSUANT TO RULE 148-11 ( c ) Rule Item 1. Issuer .. 2. Identity and background .. 3. Interests in securities of the issuer .. 4. Further matters .. 5. Signature .... EXEMPTION OF Certain SECURITIES FROM SECTION 15 ( 8 ) ...
Página 8
... Solicitation of Purchases on an Exchange to Facilitate a Distribution of Securities . ( a ) No person ... soliciting another to purchase any security of the same issuer on a national securities exchange , or for purchasing any security ...
... Solicitation of Purchases on an Exchange to Facilitate a Distribution of Securities . ( a ) No person ... soliciting another to purchase any security of the same issuer on a national securities exchange , or for purchasing any security ...
Página 9
... soliciting another to purchase any security of the same issuer on any national securities ex- change , or for ... solicitation or execu- tion of brokerage orders on a national securities exchange , if such salary represents only ...
... soliciting another to purchase any security of the same issuer on any national securities ex- change , or for ... solicitation or execu- tion of brokerage orders on a national securities exchange , if such salary represents only ...
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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