General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1963 |
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Página v
... Filing of material with the Commission____ 0-4 . Nondisclosure of information obtained in the course of examinations and investigations . 0-5 . Reference to rule by obsolete designation____ 0-6 . Disclosure detrimental to the national ...
... Filing of material with the Commission____ 0-4 . Nondisclosure of information obtained in the course of examinations and investigations . 0-5 . Reference to rule by obsolete designation____ 0-6 . Disclosure detrimental to the national ...
Página vi
... filed under other Acts . 27 28 REGULATION 12D1 . EFFECTIVENESS OF REGISTRATION - EXCHANGE CERTIFICATION 12d1-1 . Registration effective as to class or series ... 12d1-2 . Acceleration of effectiveness of registration ...... . 12d1-3 ...
... filed under other Acts . 27 28 REGULATION 12D1 . EFFECTIVENESS OF REGISTRATION - EXCHANGE CERTIFICATION 12d1-1 . Registration effective as to class or series ... 12d1-2 . Acceleration of effectiveness of registration ...... . 12d1-3 ...
Página vii
... filed ... 14a - 7 . Mailing communications for security holders ... 148-8 . Proposals of security holders ... Filed CONTENTS VII.
... filed ... 14a - 7 . Mailing communications for security holders ... 148-8 . Proposals of security holders ... Filed CONTENTS VII.
Página viii
... Filed by or on Behalf of a Participant ( OTHER THAN THE ISSUER ) IN A PROXY SOLICITATION PURSUANT TO RULE 14a - 11 ( c ) Item 1. Issuer ... . 2. Identity and background .... 3. Interests in securities of the issuer__ 4. Further matters ...
... Filed by or on Behalf of a Participant ( OTHER THAN THE ISSUER ) IN A PROXY SOLICITATION PURSUANT TO RULE 14a - 11 ( c ) Item 1. Issuer ... . 2. Identity and background .... 3. Interests in securities of the issuer__ 4. Further matters ...
Página ix
... filed under more than one Act ... 16a - 8 . Ownership of securities held in trust . 16a - 9 . Exemption for small transactions___ . 16a - 10 . Exemption from section 16 ( b ) of transactions which need not be reported under section 16 ...
... filed under more than one Act ... 16a - 8 . Ownership of securities held in trust . 16a - 9 . Exemption for small transactions___ . 16a - 10 . Exemption from section 16 ( b ) of transactions which need not be reported under section 16 ...
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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