General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1955 |
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Página 3
... appropriate court in any place subject to the jurisdiction of the United States , where the cause of action ( i ) accrues on or after the effective date of this rule , ( ii ) arises out of any activity , in any place subject to the ...
... appropriate court in any place subject to the jurisdiction of the United States , where the cause of action ( i ) accrues on or after the effective date of this rule , ( ii ) arises out of any activity , in any place subject to the ...
Página 4
... appropriate defendants at their last address of record filed with the Commission . The Commission shall be fur- nished a sufficient number of copies for such purpose , and one copy for its file . ( d ) For purposes of this rule the ...
... appropriate defendants at their last address of record filed with the Commission . The Commission shall be fur- nished a sufficient number of copies for such purpose , and one copy for its file . ( d ) For purposes of this rule the ...
Página 20
... appropriate in the public interest or for the protection of investors . Rule X - 10B - 3 . Employment of Manipulative and Deceptive Devices . It shall be unlawful for any broker or dealer , directly or indirectly , by the use of any ...
... appropriate in the public interest or for the protection of investors . Rule X - 10B - 3 . Employment of Manipulative and Deceptive Devices . It shall be unlawful for any broker or dealer , directly or indirectly , by the use of any ...
Página 24
... appropriate for registration of securities of such owner or lessee , shall set forth the information required by such form , and shall contain the following additional statement with respect to such security : ( 1 ) That temporary ...
... appropriate for registration of securities of such owner or lessee , shall set forth the information required by such form , and shall contain the following additional statement with respect to such security : ( 1 ) That temporary ...
Página 25
... appropriate notice and opportunity for hearing to the exchange and to such issuer ) finding that neither of the conditions specified in sub - paragraphs ( i ) and ( ii ) above exists : Provided , however , That such exemption shall ...
... appropriate notice and opportunity for hearing to the exchange and to such issuer ) finding that neither of the conditions specified in sub - paragraphs ( i ) and ( ii ) above exists : Provided , however , That such exemption shall ...
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Términos y frases comunes
account of customers admitted to dealing aggregate indebtedness amendment annual report application for registration application or report appropriate assets beneficial owner broker or dealer certificate consent and power deemed directly or indirectly director effective date equity security exempt security Exempted From Registration Exemption From Section financial statements fiscal form of proxy furnish hypothecation incorporated by reference issuance issuer lien or claim listed and registered loan managing agent material means ment national securities exchange officer operation of section owner or lessee paragraph partner or managing person pledgees power of attorney proxy statement purchase or sale pursuant to section registered or applying registration statement rules and regulations section 12 Securities Act securities carried securities ex Securities Exchange Act securities sold security exempted security holders security is admitted Service of Process solicitation specified stabilizing suant term thereto tion transaction unlisted trading privileges warrant
Pasajes populares
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 29 - Control" (including the terms "controlling", "controlled by", and "under common control with") means the possession, directly or indirectly, of the power to direct or cause the direction of the management and policies of a...
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 18 - ... (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...
Página 93 - Commission) of the amount of all equity securities of such issuer of which he is the beneficial owner, and within ten days after the close of each calendar month thereafter, if there has been...