General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1963 |
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Página vi
... EFFECTIVENESS OF REGISTRATION - EXCHANGE CERTIFICATION 12d1-1 . Registration effective as to class or series ... 12d1-2 . Acceleration of effectiveness of registration ...... . 12d1-3 . Requirements as to certification____ 12d1-4 . Date ...
... EFFECTIVENESS OF REGISTRATION - EXCHANGE CERTIFICATION 12d1-1 . Registration effective as to class or series ... 12d1-2 . Acceleration of effectiveness of registration ...... . 12d1-3 . Requirements as to certification____ 12d1-4 . Date ...
Página 2
... effective date of this rule , ( ii ) arises out of any activity , in any place subject to the jurisdiction of the ... effective , and each non - resident general partner or managing agent of an unincorporated investment adviser ...
... effective date of this rule , ( ii ) arises out of any activity , in any place subject to the jurisdiction of the ... effective , and each non - resident general partner or managing agent of an unincorporated investment adviser ...
Página 3
... effective such consents and powers of attorney shall be fur- nished within 30 days after this rule becomes effective . ( 3 ) Each investment adviser registered or ap- plying for registration who or which becomes a non - resident ...
... effective such consents and powers of attorney shall be fur- nished within 30 days after this rule becomes effective . ( 3 ) Each investment adviser registered or ap- plying for registration who or which becomes a non - resident ...
Página 4
... effective dates there- of , which have been effected in any of the infor- mation contained or incorporated in the state- ment , or in exhibits A ( 1 ) , A ( 2 ) , A ( 3 ) , B , C , and D , and which have not previously been re- ported ...
... effective dates there- of , which have been effected in any of the infor- mation contained or incorporated in the state- ment , or in exhibits A ( 1 ) , A ( 2 ) , A ( 3 ) , B , C , and D , and which have not previously been re- ported ...
Página 5
... effective date thereof . Such notification may be filed either in the form of a letter or in the form of a notice made generally available to members of the exchange . file with the Commission 3 copies of such material . ( c ) Within 15 ...
... effective date thereof . Such notification may be filed either in the form of a letter or in the form of a notice made generally available to members of the exchange . file with the Commission 3 copies of such material . ( c ) Within 15 ...
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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