General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1963 |
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Página iii
... NOTICE Individuals or firms REGISTERED under the Securities Ex- change Act of 1934 will receive all proposed or adopted rule changes promulgated under this Act- which affects their registration . Others who wish to receive all adopted ...
... NOTICE Individuals or firms REGISTERED under the Securities Ex- change Act of 1934 will receive all proposed or adopted rule changes promulgated under this Act- which affects their registration . Others who wish to receive all adopted ...
Página 4
... notice of issuance has been 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 ...
... notice of issuance has been 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 ...
Página 5
... notice made generally available to members of the exchange . file with the Commission 3 copies of such material ... notices , circulars , bulle- tins , lists , periodicals , etc. ) the exchange shall EXEMPTION OF CERTAIN SECURITIES FROM ...
... notice made generally available to members of the exchange . file with the Commission 3 copies of such material ... notices , circulars , bulle- tins , lists , periodicals , etc. ) the exchange shall EXEMPTION OF CERTAIN SECURITIES FROM ...
Página 6
... notice is given or sent to such customer disclosing that such securities are or may be hypothecated under circumstances which will permit the commingling thereof with securities carried for the account of other cus- tomers . The term ...
... notice is given or sent to such customer disclosing that such securities are or may be hypothecated under circumstances which will permit the commingling thereof with securities carried for the account of other cus- tomers . The term ...
Página 7
... Notice and certification requirements.- No person subject to this section shall hypothecate any security carried for the account of a customer unless , at or prior to the time of each such hypothe- cation , he gives written notice to ...
... Notice and certification requirements.- No person subject to this section shall hypothecate any security carried for the account of a customer unless , at or prior to the time of each such hypothe- cation , he gives written notice to ...
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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