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action amendment amount annual report application appropriate association authority becomes beneficial broker or dealer certificate Commission contained copies cover deemed designated determination directly or indirectly director distribution document effective equity security exempt exhibits extent filed financial statements fiscal furnish given incorporated indicate interest Investment issued issuer lien listed material matter means meeting ment months national securities exchange necessary notice offering officer operation of section otherwise owner paragraph participate period person practicable prior promptly proposal proxy proxy statement purchase pursuant to section reasonable received record reference registration registration statement regulation relating request respect Rule section 16 securities carried security holders shares solicitation specified stabilizing statement subsidiary substantially supplement term thereof tion transaction trust United unless unlisted trading privileges vote warrant
Página 3 - Secretary shall be taken and held in all Courts to be as valid and binding as if due service had been made upon said applicant in the State of Kentucky.
Página 80 - manipulative, deceptive, or other fraudulent device or contrivance", as used in section 15 (c) (1) of the act, Is hereby defined to Include any...
Página 28 - affiliate' of, or a person 'affiliated' with, a specified person, is a person that directly, or indirectly through one or more intermediaries, controls, or is controlled by, or is under common control with, the person specified. "(f) Control. The term 'control' (including the terms 'controlling,
Página 3 - Commission is responsible for the administration and enforcement of the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.
Página 4 - ... (a) to employ any device, scheme or artifice to defraud, (b) to make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading...
Página 27 - Act, except to such extent and subject to such terms and conditions as the Commission, having due regard for the public interest and the protection of investors, may prescribe by rules or regulations with respect to any class of persons, securities, or transactions...
Página 31 - In the case of shares, the par or stated value, if any; the rate of dividends, if fixed, and whether cumulative or noncumulative; a brief indication of the preference, if any; and if convertible, a statement to that effect.
Página 72 - As to each class of securities of the bank, or of any person specified in paragraph (b), which is admitted to dealing on a national securities exchange or with respect to which a market otherwise exists, and which will be materially affected by the plan, state the high and low sale prices (or, in the absence of trading in a particular period, the range of the bid and asked prices) for each quarterly period within two years. This information may be omitted if the plan involves merely the voluntary...