General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1963 |
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Página v
... form 18 , 19 , 20 , or 21 is authorized__ . 3 3 3b - 1 . Definition of " listed " . 3b - 2 . Definition of " officer " . 3b - 3 . Definition of " short sale ” . DEFINITIONS REGISTRATION AND EXEMPTION OF EXCHANGES 6a - 1 . Form of ...
... form 18 , 19 , 20 , or 21 is authorized__ . 3 3 3b - 1 . Definition of " listed " . 3b - 2 . Definition of " officer " . 3b - 3 . Definition of " short sale ” . DEFINITIONS REGISTRATION AND EXEMPTION OF EXCHANGES 6a - 1 . Form of ...
Página vi
... form__ 12b - 11 . Number of copies - signatures - binding ... . 12b - 12 . Requirements as to paper , printing , and language .. 12b - 13 . Preparation of application or report ... 24 24 25 25 12b - 14 . Riders - inserts ___ 25 12b - 15 ...
... form__ 12b - 11 . Number of copies - signatures - binding ... . 12b - 12 . Requirements as to paper , printing , and language .. 12b - 13 . Preparation of application or report ... 24 24 25 25 12b - 14 . Riders - inserts ___ 25 12b - 15 ...
Página vii
... form 8 - K ....- . Article 2. Other Reports 13a - 12 . Quarterly reports of investment companies . 13a - 13 . Semi - annual reports on form 9 - K .. 13a - 15 . Quarterly reports of certain real estate companies . 13b - 1 . Carriers and ...
... form 8 - K ....- . Article 2. Other Reports 13a - 12 . Quarterly reports of investment companies . 13a - 13 . Semi - annual reports on form 9 - K .. 13a - 15 . Quarterly reports of certain real estate companies . 13b - 1 . Carriers and ...
Página viii
... form 8 - K ...... . 15d - 13 . Semi - annual reports on form 9 - K .. 68 68 15d - 12 . Quarterly reports of investment companies .... 15d - 14 . Reports by Canadian banks ............ 15d - 15 . Quarterly reports of certain real estate ...
... form 8 - K ...... . 15d - 13 . Semi - annual reports on form 9 - K .. 68 68 15d - 12 . Quarterly reports of investment companies .... 15d - 14 . Reports by Canadian banks ............ 15d - 15 . Quarterly reports of certain real estate ...
Página 1
... forms for registration and reports and the accompanying instructions thereto . ( b ) Unless otherwise specifically stated , the terms used in the rules and regulations shall have the meaning defined in the Act . ( c ) A rule or ...
... forms for registration and reports and the accompanying instructions thereto . ( b ) Unless otherwise specifically stated , the terms used in the rules and regulations shall have the meaning defined in the Act . ( c ) A rule or ...
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Términos y frases comunes
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 employees equity security exempt security filed pursuant financial statements fiscal form of proxy furnish hypothecation indebtedness Investment Company Act issuer lien listed and registered loan market value ment national securities ex national securities exchange operation of section options otherwise paragraph participant period person 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 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