General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1963 |
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Página 2
... Investment Ad- visers and by Non - resident Investment General Partners or Managing Agents of Investment Advisers ... Company Act of 1940 , the Investment Advisers Act of 1940 , or any rule or regulation under any of said Acts ; and ( 2 ) ...
... Investment Ad- visers and by Non - resident Investment General Partners or Managing Agents of Investment Advisers ... Company Act of 1940 , the Investment Advisers Act of 1940 , or any rule or regulation under any of said Acts ; and ( 2 ) ...
Página 11
... company , or redeemable securities issued by an open - end management com- pany or a unit investment trust . Any terms used in clause ( 2 ) of this paragraph ( d ) which are defined in the Investment Company Act of 1940 shall have the ...
... company , or redeemable securities issued by an open - end management com- pany or a unit investment trust . Any terms used in clause ( 2 ) of this paragraph ( d ) which are defined in the Investment Company Act of 1940 shall have the ...
Página 35
... Investment Companies . Every investment company registered under the Investment Company Act of 1940 which has secu- rities listed and registered on a national securities exchange and for which a quarterly report form is prescribed shall ...
... Investment Companies . Every investment company registered under the Investment Company Act of 1940 which has secu- rities listed and registered on a national securities exchange and for which a quarterly report form is prescribed shall ...
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... companies ; ( 2 ) investment companies ; ( 3 ) insurance companies , other than title insur- ance ; ( 4 ) public utilities and common carriers which file financial reports with the Federal Power Coin- mission , Federal Communications ...
... companies ; ( 2 ) investment companies ; ( 3 ) insurance companies , other than title insur- ance ; ( 4 ) public utilities and common carriers which file financial reports with the Federal Power Coin- mission , Federal Communications ...
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... companies reg- istered under the Investment Company Act of 1940 , three of such copies ) shall be marked 40 SECURITIES AND EXCHANGE COMMISSION 14a-6 Material required to be filed.
... companies reg- istered under the Investment Company Act of 1940 , three of such copies ) shall be marked 40 SECURITIES AND EXCHANGE COMMISSION 14a-6 Material required to be filed.
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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