General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1955 |
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Página 1
... means the Securities and Exchange Commission . ( 2 ) The term " Act " means Title I of the Securities Exchange Act of 1934 . ( 3 ) The term " section " refers to a section of the Securities Ex- change Act of 1934 . ( 4 ) The term ...
... means the Securities and Exchange Commission . ( 2 ) The term " Act " means Title I of the Securities Exchange Act of 1934 . ( 3 ) The term " section " refers to a section of the Securities Ex- change Act of 1934 . ( 4 ) The term ...
Página 4
... mean any person , in- cluding a trustee , who directs or manages or who participates in the directing or managing of the affairs of any unincorpo- rated organization or association which is not a partnership . ( 3 ) The term " non ...
... mean any person , in- cluding a trustee , who directs or manages or who participates in the directing or managing of the affairs of any unincorpo- rated organization or association which is not a partnership . ( 3 ) The term " non ...
Página 6
... means admitted to full trading privileges upon application by the issuer or its fiscal agent or , in the case of the securities of a foreign corporation , upon application by a banker engaged in distributing them ; and includes ...
... means admitted to full trading privileges upon application by the issuer or its fiscal agent or , in the case of the securities of a foreign corporation , upon application by a banker engaged in distributing them ; and includes ...
Página 11
... mean : ( i ) securities received by or on behalf of such member , broker or dealer for the account of any customer ; ( ii ) securities sold and appropriated by such member , broker or dealer to a customer , except that if such ...
... mean : ( i ) securities received by or on behalf of such member , broker or dealer for the account of any customer ; ( ii ) securities sold and appropriated by such member , broker or dealer to a customer , except that if such ...
Página 13
... means or instrumentality of interstate commerce , or of any facility of any national securities ex- change , effects ... means an offering in which the offering price is represented to be “ at the market ” or at a price related to the ...
... means or instrumentality of interstate commerce , or of any facility of any national securities ex- change , effects ... means an offering in which the offering price is represented to be “ at the market ” or at a price related to the ...
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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...