General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1963 |
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Página v
... 10b - 7 . Stabilizing to facilitate a distribution . 10b - 8 . Distributions through rights ............ . 10b - 9 . Prohibited representations in connection with certain offerings Rule EXEMPTION OF CERTAIN SECURITIES FROM SECTION 11 ( d V.
... 10b - 7 . Stabilizing to facilitate a distribution . 10b - 8 . Distributions through rights ............ . 10b - 9 . Prohibited representations in connection with certain offerings Rule EXEMPTION OF CERTAIN SECURITIES FROM SECTION 11 ( d V.
Página 8
... offering plan declared effective by the Commis- sion pursuant to paragraph ( d ) of Rule 10b - 2 . For the purpose of clause ( 8 ) hereof a depositary receipt for a security shall be deemed to be the same security as the security ...
... offering plan declared effective by the Commis- sion pursuant to paragraph ( d ) of Rule 10b - 2 . For the purpose of clause ( 8 ) hereof a depositary receipt for a security shall be deemed to be the same security as the security ...
Página 9
... offering or agreeing to pay , directly or indi- rectly , to any person any compensation for solicit- ing another to purchase such security on any such exchange , or for purchasing such security on any such exchange for any account other ...
... offering or agreeing to pay , directly or indi- rectly , to any person any compensation for solicit- ing another to purchase such security on any such exchange , or for purchasing such security on any such exchange for any account other ...
Página 11
... offering at the market " shall mean an offering in which it is contemplated that any offering price set in any calendar day will be increased more than once during such day . ( 2 ) The term " transaction " shall mean a bid or a purchase ...
... offering at the market " shall mean an offering in which it is contemplated that any offering price set in any calendar day will be increased more than once during such day . ( 2 ) The term " transaction " shall mean a bid or a purchase ...
Página 12
... Offerings at the Market . No person shall effect any stabilizing transaction to facilitate any offering at the market . ( h ) Stabilizing Securities Traded in More Than One Market . If a security is traded in more than one market ...
... Offerings at the Market . No person shall effect any stabilizing transaction to facilitate any offering at the market . ( h ) Stabilizing Securities Traded in More Than One Market . If a security is traded in more than one market ...
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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