General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1963 |
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Página vi
... Annual reports to other Federal agencies .. 2222 27 27 27 27 Article 5. Special Provisions 12b - 35 . Use of registration statement under Securities Act of 1933 . 12b - 36 . Use of financial statements filed under other Acts . 27 28 ...
... Annual reports to other Federal agencies .. 2222 27 27 27 27 Article 5. Special Provisions 12b - 35 . Use of registration statement under Securities Act of 1933 . 12b - 36 . Use of financial statements filed under other Acts . 27 28 ...
Página vii
... Financial statements .___ . 11. Options , warrants , or rights ... 12. Authorization or issuance of securities otherwise than for exchange . 13. Modification or exchange of securities .__ . 16. Acquisition or disposition of property ...
... Financial statements .___ . 11. Options , warrants , or rights ... 12. Authorization or issuance of securities otherwise than for exchange . 13. Modification or exchange of securities .__ . 16. Acquisition or disposition of property ...
Página viii
... Statement of financial condition to be filed with application for registration as a broker or dealer ......... 15b - 9 . Proceedings under sections 15 ( b ) , 15A ( l ) ( 2 ) and 19 ( a ) ( 3 ) of the of the Act .. 55555 57 59 59 RULES ...
... Statement of financial condition to be filed with application for registration as a broker or dealer ......... 15b - 9 . Proceedings under sections 15 ( b ) , 15A ( l ) ( 2 ) and 19 ( a ) ( 3 ) of the of the Act .. 55555 57 59 59 RULES ...
Página 22
... financial statements , means certified by an independent public or independent certified public accountant or ... annual accounting period or , if no closing date has been adopted , the calendar year ending on Decem- ber 31 . Majority ...
... financial statements , means certified by an independent public or independent certified public accountant or ... annual accounting period or , if no closing date has been adopted , the calendar year ending on Decem- ber 31 . Majority ...
Página 25
... financial statements may be on larger paper if folded to that size . ( b ) The application or report and , insofar as practicable , all papers and documents filed as a part thereof , shall be printed , lithographed , mimeographed , or ...
... financial statements may be on larger paper if folded to that size . ( b ) The application or report and , insofar as practicable , all papers and documents filed as a part thereof , shall be printed , lithographed , mimeographed , 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