General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1963 |
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Página viii
... payments received in connection with underwritings .. 15c2-5 . Disclosure and other requirements when extending or arranging credit in certain transactions .. 15c3-1 . Ratio of aggregate indebtedness to net capital_ - - 8888 555 61 61 ...
... payments received in connection with underwritings .. 15c2-5 . Disclosure and other requirements when extending or arranging credit in certain transactions .. 15c3-1 . Ratio of aggregate indebtedness to net capital_ - - 8888 555 61 61 ...
Página 3
... pay to the holders of such security interest or dividends at a specified rate ; and ( 2 ) The business of such issuer is managed by ( d ) For purposes of this rule the following definitions shall apply : ( 1 ) The term " investment ...
... pay to the holders of such security interest or dividends at a specified rate ; and ( 2 ) The business of such issuer is managed by ( d ) For purposes of this rule the following definitions shall apply : ( 1 ) The term " investment ...
Página 6
... payment therefor , to the extent that such member , broker or dealer owns and has re- ceived delivery of securities of like kind , except that if such securities were subject to a lien when such payment was made they shall not be deemed ...
... payment therefor , to the extent that such member , broker or dealer owns and has re- ceived delivery of securities of like kind , except that if such securities were subject to a lien when such payment was made they shall not be deemed ...
Página 8
... Pay or offer or agree to pay , directly or in- directly , to any person any compensation for soliciting another to purchase any security of the same issuer on a national securities exchange , or for purchasing any security of the same ...
... Pay or offer or agree to pay , directly or in- directly , to any person any compensation for soliciting another to purchase any security of the same issuer on a national securities exchange , or for purchasing any security of the same ...
Página 9
... pay such compensation ; or ( 2 ) Sell , offer to sell or induce an offer to buy such security , or deliver such ... payment of such compensa- tion in connection with a distribution of securities , which plan has been filed with the ...
... pay such compensation ; or ( 2 ) Sell , offer to sell or induce an offer to buy such security , or deliver such ... payment of such compensa- tion in connection with a distribution of securities , which plan has been filed with the ...
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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