General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1962 |
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Página viii
... unless validated ...... . 15c2-4 . Transmission or maintenance of payments received in connection with underwritings .. 15c3-1 . Ratio of aggregate indebtedness to net capital ............... 54 54 55 55 55 55 5555 55 57 57 58 58 58 58 ...
... unless validated ...... . 15c2-4 . Transmission or maintenance of payments received in connection with underwritings .. 15c3-1 . Ratio of aggregate indebtedness to net capital ............... 54 54 55 55 55 55 5555 55 57 57 58 58 58 58 ...
Página 1
... unless the context otherwise specifically requires— ( 1 ) The term " Commission " means the Securi- ties and Exchange Commission . ( 2 ) The term " Act " means Title I of the Securi- ties Exchange Act of 1934 . ( 3 ) The term " section ...
... unless the context otherwise specifically requires— ( 1 ) The term " Commission " means the Securi- ties and Exchange Commission . ( 2 ) The term " Act " means Title I of the Securi- ties Exchange Act of 1934 . ( 3 ) The term " section ...
Página 7
... unless , at or prior to the time of each such hypothe- cation , he gives written notice to the pledgee that the security pledged is carried for the account of a customer and that such hypothecation does not contravene any provision of ...
... unless , at or prior to the time of each such hypothe- cation , he gives written notice to the pledgee that the security pledged is carried for the account of a customer and that such hypothecation does not contravene any provision of ...
Página 8
... unless such MANIPULATIVE AND DECEPTIVE Rule 10b - 1 . Prohibition of Use of Manipulative or Deceptive Devices or Contrivances With Respect to Certain Securities Ex- empted From Registration . The term manipulative or deceptive device or ...
... unless such MANIPULATIVE AND DECEPTIVE Rule 10b - 1 . Prohibition of Use of Manipulative or Deceptive Devices or Contrivances With Respect to Certain Securities Ex- empted From Registration . The term manipulative or deceptive device or ...
Página 9
... unless the Com- mission , having due regard for the public interest and for the protection of investors , declares the plan to be effective . The Commission in its declaration may impose such terms and conditions relating to the ...
... unless the Com- mission , having due regard for the public interest and for the protection of investors , declares the plan to be effective . The Commission in its declaration may impose such terms and conditions relating to the ...
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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