General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1963 |
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Página v
... 7 . Stabilizing to facilitate a distribution . 10b - 8 . Distributions through rights ............ . 10b - 9 . Prohibited representations in connection with certain offerings Rule EXEMPTION OF CERTAIN SECURITIES FROM SECTION 11 ( d V.
... 7 . Stabilizing to facilitate a distribution . 10b - 8 . Distributions through rights ............ . 10b - 9 . Prohibited representations in connection with certain offerings Rule EXEMPTION OF CERTAIN SECURITIES FROM SECTION 11 ( d V.
Página viii
... connection with underwritings .. 15c2-5 . Disclosure and other requirements when extending or arranging credit in certain transactions .. 15c3-1 . Ratio of aggregate indebtedness to net capital_ - - 8888 555 61 61 62 63 63 64 64 64 ...
... connection with underwritings .. 15c2-5 . Disclosure and other requirements when extending or arranging credit in certain transactions .. 15c3-1 . Ratio of aggregate indebtedness to net capital_ - - 8888 555 61 61 62 63 63 64 64 64 ...
Página ix
... connection with a distribution ..... 16b - 3 . Exemption from section 16 ( b ) of acquisitions of shares of stock and restricted stock options under certain stock bonus , stock option or similar plans . .. 16b - 4 . Exemption from ...
... connection with a distribution ..... 16b - 3 . Exemption from section 16 ( b ) of acquisitions of shares of stock and restricted stock options under certain stock bonus , stock option or similar plans . .. 16b - 4 . Exemption from ...
Página 2
... connection with the conduct of business of an investment adviser , and ( iii ) is founded , directly or indirectly , upon the provisions of the Securities Act of 1933 , the Securities Exchange Act of 1934 , the Trust Indenture Act of ...
... connection with the conduct of business of an investment adviser , and ( iii ) is founded , directly or indirectly , upon the provisions of the Securities Act of 1933 , the Securities Exchange Act of 1934 , the Trust Indenture Act of ...
Página 4
... connection therewith . ( b ) An amendment to such application shall be made in duplicate on Form 1 - A , and each amend- ment shall be dated and numbered in order of filing . ( c ) Promptly after the discovery that any information in ...
... connection therewith . ( b ) An amendment to such application shall be made in duplicate on Form 1 - A , and each amend- ment shall be dated and numbered in order of filing . ( c ) Promptly after the discovery that any information in ...
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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