General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1963 |
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... ment or agency of the United States to require pro- tection in the interests of national defense . ( b ) Where a document is omitted pursuant to paragraph ( a ) hereof , there shall be filed , in lieu of such document , a statement from ...
... ment or agency of the United States to require pro- tection in the interests of national defense . ( b ) Where a document is omitted pursuant to paragraph ( a ) hereof , there shall be filed , in lieu of such document , a statement from ...
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... ment shall be dated and numbered in order of filing . ( c ) Promptly after the discovery that any information in the statement , any exhibit , or any amendment was inaccurate when filed , the ex- change shall file with the Commission an ...
... ment shall be dated and numbered in order of filing . ( c ) Promptly after the discovery that any information in the statement , any exhibit , or any amendment was inaccurate when filed , the ex- change shall file with the Commission an ...
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United States. Securities and Exchange Commission. ment or in any exhibit ( except exhibits E , F , L , and M ) , or in any amendment thereto , the ex- change shall file with the Commission written notification in triplicate setting ...
United States. Securities and Exchange Commission. ment or in any exhibit ( except exhibits E , F , L , and M ) , or in any amendment thereto , the ex- change shall file with the Commission written notification in triplicate setting ...
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... ment for the loan , of any security , or to any failure to deliver any security if , prior to such loan , arrangement , or failure to deliver , the exchange upon which the sale requiring the delivery of such security was effected finds ...
... ment for the loan , of any security , or to any failure to deliver any security if , prior to such loan , arrangement , or failure to deliver , the exchange upon which the sale requiring the delivery of such security was effected finds ...
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... ment , and is not paid , in whole or in part , directly or indirectly , for the inducement by such person of the purchase or sale on a national securities exchange of any security of the issuer of the security in the primary or ...
... ment , and is not paid , in whole or in part , directly or indirectly , for the inducement by such person of the purchase or sale on a national securities exchange of any security of the issuer of the security in the primary 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