General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1963 |
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Página vii
... otherwise than for exchange . 13. Modification or exchange of securities .__ . 16. Acquisition or disposition of property . 17. Restatement of accounts__ 18. Action with respect to reports____ 19. Matters not required to be submitted ...
... otherwise than for exchange . 13. Modification or exchange of securities .__ . 16. Acquisition or disposition of property . 17. Restatement of accounts__ 18. Action with respect to reports____ 19. Matters not required to be submitted ...
Página 1
... otherwise specifically requires― ( 1 ) The term " Commission " means the Securi- ties and Exchange Commission . ( 2 ) The term " Act " means Title I of the Securi- ties Exchange Act of 1934 . ( 3 ) The term " section " refers to a ...
... otherwise specifically requires― ( 1 ) The term " Commission " means the Securi- ties and Exchange Commission . ( 2 ) The term " Act " means Title I of the Securi- ties Exchange Act of 1934 . ( 3 ) The term " section " refers to a ...
Página 8
... otherwise fi- nancially interested in the primary or secondary distribution of any security of any issuer , shall , by the use of any means or instrumentality of interstate commerce or of the mails , or of any facility of any national ...
... otherwise fi- nancially interested in the primary or secondary distribution of any security of any issuer , shall , by the use of any means or instrumentality of interstate commerce or of the mails , or of any facility of any national ...
Página 9
... otherwise fi- nancially interested in the primary or secondary distribution of any security of any issuer , shall cause a purchase or sale of any security of the same issuer on a national securities exchange by paying or offering or ...
... otherwise fi- nancially interested in the primary or secondary distribution of any security of any issuer , shall cause a purchase or sale of any security of the same issuer on a national securities exchange by paying or offering or ...
Página 10
... otherwise than on a securities exchange with the issuer or other person or persons on whose behalf such dis- tribution is being made or among underwriters , prospective underwriters or other persons who have agreed to participate or are ...
... otherwise than on a securities exchange with the issuer or other person or persons on whose behalf such dis- tribution is being made or among underwriters , prospective underwriters or other persons who have agreed to participate or are ...
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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