General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1962 |
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Página v
... statement or exemption statements of exchanges .... 6a - 3 . Supplemental material_ EXEMPTION OF CERTAIN SECURITIES FROM the OperatION OF SECTION 7 ( c ) ( 2 ) 7c2-1 . Exemption from section 7 ( c ) ( 2 ) of certain securities exempted ...
... statement or exemption statements of exchanges .... 6a - 3 . Supplemental material_ EXEMPTION OF CERTAIN SECURITIES FROM the OperatION OF SECTION 7 ( c ) ( 2 ) 7c2-1 . Exemption from section 7 ( c ) ( 2 ) of certain securities exempted ...
Página vi
... 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 ...
... 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
... statement ... 14a - 6 . Material required to be filed .... 148-7 . Mailing communications for security holders .. 14a - 8 . Proposals of security holders ............ 37 37 38 39 39 14a - 9 . False or misleading statements .. 148-10 ...
... statement ... 14a - 6 . Material required to be filed .... 148-7 . Mailing communications for security holders .. 14a - 8 . Proposals of security holders ............ 37 37 38 39 39 14a - 9 . False or misleading statements .. 148-10 ...
Página viii
... Statements FILED BY OR ON BEHALF OF A Participant ( OTHER THAN THE ISSUER ) IN A PROXY SOLICITATION PURSUANT TO RULE ... Statement of financial condition to be filed with application for registration as a broker or dealer ......... 15b ...
... Statements FILED BY OR ON BEHALF OF A Participant ( OTHER THAN THE ISSUER ) IN A PROXY SOLICITATION PURSUANT TO RULE ... Statement of financial condition to be filed with application for registration as a broker or dealer ......... 15b ...
Página ix
... statements .. 70 16a - 2 . Ownership of more than 10 per cent of an equity security . 71 16a - 3 . Disclaimer of beneficial ownership --- 71 16a - 4 . Exemptions from sections 16 ( a ) and 16 ( b ) ...... . 71 16a - 5 . Exemption from ...
... statements .. 70 16a - 2 . Ownership of more than 10 per cent of an equity security . 71 16a - 3 . Disclaimer of beneficial ownership --- 71 16a - 4 . Exemptions from sections 16 ( a ) and 16 ( b ) ...... . 71 16a - 5 . Exemption from ...
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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