General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1963 |
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Página 4
... granted . Rule 3b - 2 . Definition of “ Officer . ” The term " officer " means a president , vice presi- dent , treasurer , secretary , comptroller , and any other person who performs for an issuer , whether incorporated or ...
... granted . Rule 3b - 2 . Definition of “ Officer . ” The term " officer " means a president , vice presi- dent , treasurer , secretary , comptroller , and any other person who performs for an issuer , whether incorporated or ...
Página 11
... Granted . Any persons placing or transmitting a bid which he knows is for the purpose of stabilizing the price of any se- curity shall disclose the purpose of such bid to the person with whom it is placed or to whom it is transmitted ...
... Granted . Any persons placing or transmitting a bid which he knows is for the purpose of stabilizing the price of any se- curity shall disclose the purpose of such bid to the person with whom it is placed or to whom it is transmitted ...
Página 18
... granted to such exchange , and shall have continued to be so listed until registration of such exchange became effective , such exemption shall continue to and including April 30 , 1936 . If registration pursuant to section 12 ( b ) ...
... granted to such exchange , and shall have continued to be so listed until registration of such exchange became effective , such exemption shall continue to and including April 30 , 1936 . If registration pursuant to section 12 ( b ) ...
Página 20
... granted . ( 3 ) The term " subject security " means a secu- rity which is the subject of a warrant or right to subscribe to or otherwise acquire such security . ( 4 ) The term " in the process of admission to dealing " , in respect of a ...
... granted . ( 3 ) The term " subject security " means a secu- rity which is the subject of a warrant or right to subscribe to or otherwise acquire such security . ( 4 ) The term " in the process of admission to dealing " , in respect of a ...
Página 21
... granted un- listed trading privileges on the exchange ; ( 3 ) The close of business on the tenth day after ( A ) withdrawal of an application for registration of the exempt security on the exchange ; ( B ) with- drawal by the exchange ...
... granted un- listed trading privileges on the exchange ; ( 3 ) The close of business on the tenth day after ( A ) withdrawal of an application for registration of the exempt security on the exchange ; ( B ) with- drawal by the exchange ...
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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